Document Mentions (4 shared documents)

EFTA01268689

2 mentions1 same-page

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edit Won'. Cermet.' arse Persia Lendirs, Magna Broken, Private Banos and tesdonal Se* K Nern-BanS friencol ihislirtesne (CtinaneY Ertirshd9s• rehar Exchange O Oaring aCasants kr nerds/ and Non-Bank InstitubOnS Co net teeming Mg &Stang of nrstBeries BSA Canpleace Department In PO Case yOu wit Nor FIRS

• A.0 Individual who has ~ewe responsibility for managing the *gal entity (Control Preen) O CRL Address,: Adenoma: City: Sa: Zip Code: Horne Phone: Work Phone: ExtentelOrt All Phone Calmar Alternate Phone: Type: . . _ Phone: O Do Not Call Email Address: O Do Not Email

EFTA01282797

2 mentions1 same-page

Page ?Same page

Exchanges. — I understand that if found in violation of either the preeten limit or the exercise limit I may be subsact to sanctions imposed by the Exchange involved and that these sanctions may include liorilation of the positions in violation. a I understand that Deutsont Book Alex. Brown has Witicie

curities Fite ,t arias ONo If yes please crovide the account numbeilal. Pouts Account Owner Personal Inlomsallon: Name O.v Home Address *ow Horne Phone Number of Dependents_..__ Marital Stalls Ecrthdato implover Business Phone BannesS Address Type or Burness Position Years He

EFTA00169752

2 mentions1 same-page

Page ?Same page

Eichenges. — I unbent:end that if loud in violation of either the position limit or the exercise limit I may be subsea to sanctions imposed by the Exchange involved and that these sanctions may include liquidation of the positions in violation. 3. I understand that Deutsonc Back Alex. Brows has polici

Bank Sal:untie, Inc.? as p No if yes. Please of OØ the Jet:Curt number(*) Yews Held RIO, Account Owner Personal Information: Name Home Address Horne Phone Employer BusincSS AddieSs Numbs. ol DitutedenIS Marital Status Birthdato Business Phone •••*1.11.1 Type cl Business P1050111 Biokcso