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SACTIONS • ALL ORDERS MID 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 FACLITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F AP
printed copy of this information by calling (888) 367-2563, option 3 then option 5. Vvhen a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
2 mentions1 same-page
Page ?Same page
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 FACLITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F AP
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
2 mentions1 same-page
Page ?Same page
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. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
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2 mentions1 same-page
Page ?Same page
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. IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
2 mentions1 same-page
Page ?Same page
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. IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
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Mutual Connections (116)
Entities connected to both USAGES and FINRA Rule 4340
CUSTOMS
ORGANIZATION71 w/ USAGES·5 w/ FINRA
THE FEDERAL RESERVE SYSTEM
ORGANIZATION71 w/ USAGES·5 w/ FINRA
THE CLEARING FACILITY
ORGANIZATION69 w/ USAGES·5 w/ FINRA
THE BOARD OF GOVERNORS OF
ORGANIZATION69 w/ USAGES·5 w/ FINRA
Jeff Sessions
PERSON67 w/ USAGES·5 w/ FINRA
ON PERSHING'S
ORGANIZATION67 w/ USAGES·5 w/ FINRA
INDEBTED TO PERSHING LLC
ORGANIZATION60 w/ USAGES·4 w/ FINRA
BNY MELLON CAPITAL MARKETS
ORGANIZATION56 w/ USAGES·3 w/ FINRA
TAXABLE
ORGANIZATION47 w/ USAGES·5 w/ FINRA
Pershing
LOCATION40 w/ USAGES·11 w/ FINRA
TIME PERSHING
ORGANIZATION46 w/ USAGES·4 w/ FINRA
the Pershing Customer Service Department
ORGANIZATION41 w/ USAGES·5 w/ FINRA
the State of New York
LOCATION40 w/ USAGES·5 w/ FINRA
Legal Department
ORGANIZATION39 w/ USAGES·4 w/ FINRA
Pershing LLC
ORGANIZATION37 w/ USAGES·4 w/ FINRA
Client Service Information
ORGANIZATION32 w/ USAGES·5 w/ FINRA
the Options Clearing Corporation
ORGANIZATION33 w/ USAGES·3 w/ FINRA
Securities Investor Protection Corporation
ORGANIZATION33 w/ USAGES·2 w/ FINRA
Pie Chart
ORGANIZATION31 w/ USAGES·3 w/ FINRA
Baltimore
LOCATION29 w/ USAGES·3 w/ FINRA