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SACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF
ned subsidiary at The &onkelNew York Mellon Ca ponthal (MY Melba) Penne. tiC. fitiRaMwast00049827 DB-SDNY-0012651 EFTA_00160436 EFTA01291907 Import ant Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the ri
NSACTORS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF
d subsidiary Ilwa Unit New York Mellon CAgnatkie (MY Meta) Panhat a C. Mente FIIIRAttiAta°°° 49469 DB-SDNY-0012293 EFTA_00160078 EFTA01291643 Import ant Information and Disclosures The Role of Pershing • Pershing carries your account asclearing broker pursuant to a clearing agreement with your financial institution. Pershing
NSACTORS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF
NY MAN) Pent•, MC. imurter FiliatiAngLat 00049710 DB-SDNY-0012534 EFTA_0016O319 EFTA01291805 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Import ant Information and Disclosures (continued) November 1,2018 - November 30,2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) it any. to you and in general, for the ong
Entities connected to both USAGES and Import ant Information and Disclosures

CUSTOMS
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing
LOCATIONLegal Department
ORGANIZATIONthe State of New York
LOCATIONPershing LLC
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONJersey City
LOCATION
Baltimore
LOCATION