This document outlines the terms and conditions of a Prime Brokerage Agreement, including the authorization for the Executing Broker to mark sell orders as 'long', customer qualification requirements, and the process for confirmations of trade data. It specifies the responsibilities of the customer, the Prime Broker, and the Executing Broker in relation to securities transactions.
doj/DataSet10/EFTA01454025.pdf
{"document_type":"legal","key_locations":["The New York Stock Exchange, Inc."],"document_subtype":"Prime Brokerage Agreement","key_organizations":["Executing Broker","Prime Broker","Pershing LLC","The Bank of New York Mellon Corporation","FINRA","NYSE","SIPC"],"reference_numbers":["DB-SDNY-0111924","SDNY_GM_00258108","EFTA01454025"]}