This document outlines the risks, prohibitions, and general information related to option trading, emphasizing the high degree of risk involved and the need for investors to assess their financial situation before engaging in such transactions. It details the responsibilities and limitations for clients trading options with Deutsche Bank Alex. Brown, including margin requirements, position limits, and the bank's discretionary powers in managing accounts.
documents/vol00010-efta01355673-pdf.pdf
{"title":"Risks, Prohibitions and General Information Concerning Option Trading","document_date":"2011-05-11","document_type":"correspondence","key_locations":["State of New York"],"document_subtype":"agreement","key_organizations":["Deutsche Bank Alex. Brown","Financial Industry Regulatory Authority (FINRA)","Options Clearing Corporation (OCC)"],"reference_numbers":["09-PWM-0127 OM 14 (05/11)","DB-SDNY-0040924","SDNY_GM_00187108","EFTA01355673"]}