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ver of such right or any other right granted hereunder. DBSI retains the right to delegate to its agent including its clearing agent. Pershing LLC (Pershing), one or mtire of DBSI's rights or obligenons under this Agreement withoUt notice to Client. 2. Cash Account. DBSI will classify eech Amount as a ca
Obligations of each Jent Accountholder to DBSI and its Affiliates or Pershing. With respect to the lien granted to DBSI and its Affiliates, 13951(0r Pershing. at D8SI's instruction).may, at any time and without prior notice. sell, transfer, release, exehenge, settle or otherwise dispose of or deal with an
ty arising from the execution of transactions based on such instructions. 12. Role of Certain Third Parties. ORSI engages a.thkd-party Mooring apent Pershing. Chant understands that Pershing is the custodian of Client's assets, clears and settles al transactions, and eittends credit on any margin purchase
ffect trine time te nroe. 'Applicable Law" shall also include the rules of any national securities association, registered securities exchange or of the Options Cleating Corporation or other clearing organization applicable to the trading of option contracts. 13.8W/44198 9 012145 032813 CONFIDENTIAL - PURSUANT TO FED. R. CRI
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ver of such right or any other right granted hereunder. DBSI retains the right to delegate to its agent including its clearing agent, Pershing LLC (Pershing), one or more of DBSI's rights or obliganons under this Agreement without notice to Client. 2. Cash Account. DBSI will dimity each Account as a cash
, and the services rendered thereunder, are not intended to create a joint venture, partnership or other form of business organization of any kind. Pershing shall riot be responsible or liable to Client far any acts or omissions of DBSI or its employees. Pershing does not provide investment advice, nor o
effect here time te twos. "Applicable Law- shall also include the rules of any national securities association, registered securities exchange or of the Options Cleating Corporation or other clearing organq.ation applicable to the trading of option contracts. 13.AWM-0198 012145 032813 SDNY_GM_00038427 CONFIDENTIAL CONFIDENT
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ed acquired on or after January 1, 2014. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your in
rring agent and Pershing makes no representation as to the accuracy of this information. M essages Pursuant to the Securities Exchange Act of 1934, Pershing (IC (Pershing), a BNY Mellon company, provides individual investors pith certain financial information on a semi-annual basis. Pershing's June State
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing km. Proxy Vote Securities not fully paid for
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your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provid
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid f
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ding the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection wi
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing fin. Proxy Vote Securities not fully paid fo
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Mutual Connections (61)
Entities connected to both Pershing and the Options Cleating Corporation
Pershing LLC
ORGANIZATION229 w/ Pershing·4 w/ the
Baltimore
LOCATION169 w/ Pershing·2 w/ the
the State of New York
LOCATION164 w/ Pershing·4 w/ the
Securities Investor Protection Corporation
ORGANIZATION157 w/ Pershing·4 w/ the
Legal Department
ORGANIZATION153 w/ Pershing·2 w/ the
Deutsche Bank Securities Inc.
ORGANIZATION139 w/ Pershing·2 w/ the
the Pershing Customer Service Department
ORGANIZATION126 w/ Pershing·2 w/ the
Jersey City
LOCATION125 w/ Pershing·2 w/ the
Jeffrey Epstein
PERSON124 w/ Pershing·2 w/ the
Money Market Fund
ORGANIZATION95 w/ Pershing·2 w/ the
Client Service Information
ORGANIZATION58 w/ Pershing·2 w/ the
THE FEDERAL RESERVE SYSTEM
ORGANIZATION44 w/ Pershing·2 w/ the
Jeff Sessions
PERSON43 w/ Pershing·2 w/ the
Pie Chart
ORGANIZATION42 w/ Pershing·2 w/ the
THE BOARD OF GOVERNORS OF
ORGANIZATION42 w/ Pershing·2 w/ the
THE CLEARING FACILITY
ORGANIZATION42 w/ Pershing·2 w/ the
CUSTOMS
ORGANIZATION41 w/ Pershing·2 w/ the
TAXABLE
ORGANIZATION40 w/ Pershing·2 w/ the
USAGES
ORGANIZATION40 w/ Pershing·2 w/ the
ON PERSHING'S
ORGANIZATION39 w/ Pershing·2 w/ the