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effect from time to time. 'Applicable Law" shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. 13-AWM.0196 9 012145 032813 CONFIDENTIAL — PURSUANT TO FED. R. CRI
EFTA00169571 10. Notices. Notices and other communications may also be provided to Client verbally. Such notices and other communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, are considered to have been delivered to Client whether actually received or not. Tra
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effect from time to time. 'Applicable Law' shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. a CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0119630
10. Notices. Notices and other communications may also be provided to Client verbally. Such notices end other communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, ere considered to have been delivered to Client whether actually received or not. Tra
2 mentions1 same-page
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effect from time to time. 'Applicable Law' shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. WM134715 a 015884.110314 CONFIDENTIAL — PURSUANT TO FED. R. CRIM.
10. Notices. Notices and other communications may also be provided to Client verbally. Such notices end other communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, ere considered to have been delivered to Client whether actually received or not. Tra
Sponsored
2 mentions1 same-page
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effect from time to time. 'Applicable Law' shall also include the rules of any national securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization applicable to the trading of option contracts. WM134715 a 015884.110314 CONFIDENTIAL — PURSUANT TO FED. R. CRIM.
10. Notices. Notices and other communications may also be provided to Client verbally. Such notices end other communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, ere considered to have been delivered to Client whether actually received or not. Tra
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Mutual Connections (12)
Entities connected to both the Options Clearing Corporation and Client on Client
Pershing
LOCATION99 w/ the·5 w/ Client
Securities Investor Protection Corporation
ORGANIZATION55 w/ the·4 w/ Client
BNY Mellon
ORGANIZATION21 w/ the·3 w/ Client
Federal Reserve
ORGANIZATION15 w/ the·4 w/ Client
DEISI
ORGANIZATION8 w/ the·4 w/ Client
United States
LOCATION9 w/ the·2 w/ Client
the Securities and Exchange Commission
ORGANIZATION8 w/ the·2 w/ Client
Servicing Trust Company
ORGANIZATION6 w/ the·3 w/ Client
the Terms and Conditions
ORGANIZATION5 w/ the·3 w/ Client
Foreign Securities which Client
ORGANIZATION5 w/ the·2 w/ Client
LD
lel DBSI
PERSON3 w/ the·3 w/ Client
CL
Clientisi
PERSON3 w/ the·3 w/ Client