This document is a partial transfer form for mutual funds and liquidations, detailing the transfer of assets, including Ally preferred stock, with specific instructions for transfer in kind or liquidation, dividend options, and capital gain options. It includes sections on retirement plan restrictions and certifications, participant signature and certification, and instructions for the delivering firm. The document also advises on the need for a minimum distribution for individuals over 70½ and includes a rollover certification of the employee.
doj/DataSet10/EFTA01449475.pdf
{"key_people":["Pershing LLC"],"document_type":"financial","document_subtype":"Transfer Form","key_organizations":["Pershing LLC"],"reference_numbers":["09-PWM-0597 (10/09)","DB-SDNY-0104910","SDNY_GM_00251094","EFTA01449475"]}