This document is an Institutional Suitability Certificate affirming the exercise of independent judgment in connection with recommended transactions or investment strategies by a registered broker-dealer, as per FINRA Rule 2111. It outlines the responsibilities and acknowledgments of the institutional account, including the capability to evaluate investment risks independently and the obligation to notify Dealogic and broker-dealers if the certificate's statements cease to be true.
doj/DataSet10/EFTA01454070.pdf
{"title":"Institutional Suitability Certificate Affirmative Indication of Exercise of Independent Judgment","key_people":["Authorized Signatory"],"document_date":"2011","document_type":"correspondence","key_locations":["120 Broadway, 8th Floor, New York, NY 10271"],"document_subtype":"Institutional Suitability Certificate","key_organizations":["Dealogic","FINRA"],"reference_numbers":["DB-SDNY-0111987","SDNY_GM_00258171","EFTA01454070"]}