This document is a certificate from Deutsche Asset & Wealth Management regarding the eligibility of accounts to purchase initial public offerings (IPOs) of equity securities in compliance with FINRA Rule 5130 and 5131. It requires the account holder to certify whether their account is eligible to purchase IPO shares, based on the presence of restricted persons or covered persons. The document outlines the conditions under which accounts can purchase new issues and the necessary certifications required from the account holder.
documents/vol00010-efta01468631-pdf.pdf
{"title":"Deutsche Asset & Wealth Management Certificate for the Purchase of Initial Public Offerings of Equity Securities","key_people":["Authorized Signatory"],"document_type":"correspondence","document_subtype":"certificate","key_organizations":["Deutsche Asset & Wealth Management","FINRA","Deutsche Bank Securities Inc."],"reference_numbers":["EFTA01468631","EFTA01468632","EFTA01468633","EFTA01468634","EFTA01468635","EFTA01468636","EFTA01468637"]}