This document is a client eligibility certification form for Ghislaine Maxwell's account with UBS Financial Services Inc. It outlines the regulatory requirements under FINRA Rules 5130 and 5131 that prohibit the allocation of IPOs to accounts owned by certain restricted persons. The form requires the account holder to certify that their account is not beneficially owned by any restricted or covered persons as defined by the rules, or that they are eligible for an exemption. The document includes definitions of key terms and exemptions from the rules.
documents/EFTA00236102.pdf
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