This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, securities lending, trade report corrections, account sequestration, foreign securities risks, prohibition of freeriding, lottery allocation for callable securities, non-investment adviser capacity, and additional disclosures for non-U.S. residents.
doj/DataSet10/EFTA01449061.pdf
{"document_type":"financial","key_locations":["United States"],"document_subtype":"Account Agreement Appendix","key_organizations":["DBSI","Pershing","Securities and Exchange Commission","Federal Reserve Board"],"reference_numbers":["13-AWM-0196","012145.032813","DB-SDNY-0104311","SDNY_GM_00250495","EFTA01449061"]}