This document outlines the terms and conditions under which Deutsche Bank Securities Inc. will execute securities transactions for a client's account and clear them through Pershing LLC. It includes details on account establishment, customer trades, applicable laws and regulations, and the handling of short, short exempt, and long sales.
doj/DataSet10/EFTA01454024.pdf
{"title":"Agreement for Prime Brokerage Clearance Services","document_type":"legal","document_subtype":"Agreement","key_organizations":["Deutsche Bank Securities Inc.","Pershing LLC","Securities and Exchange Commission","Municipal Securities Rulemaking Board","National Association of Securities Dealers","Board of Governors of the Federal Reserve System","The Bank of New York Mellon Corporation"],"reference_numbers":["DB-SDNY-0111923","SDNY_GM_00258107","EFTA01454024"]}