This document is an Institutional Suitability Certificate affirming the independent judgment of an institutional account in evaluating investment risks and broker-dealer recommendations, 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.
documents/vol00010-efta01468629-pdf.pdf
{"title":"INSTITUTIONAL SUITABILITY CERTIFICATE","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":["EFTA01468629","EFTA01468630"]}