This document outlines the terms and conditions for the purchase and sale of securities through DBSI. It includes clauses on cash account requirements, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties, and liens on securities and other property. The document specifies the rights and responsibilities of the client and DBSI, including the handling of unpaid balances, interest charges, and the role of third-party clearing agent Pershing.
doj/DataSet10/EFTA01390347.pdf
{"document_type":"legal","document_subtype":"contract","key_organizations":["DBSI","Pershing"],"reference_numbers":["13-AWM-0196","012145.032813","DB-SDNY-0094826","SDNY_GM_00241010","EFTA01390347"]}