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COUNT 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 ANCWOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
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COUNT 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 ANDIOR SETTLED, OR IF APPLICABLE. OF THE FNANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
fied: or Page 17 of 19 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated twine% bay Yee. Sect 2001 DA Wt PAM) COWAUNICATTOP6 mama Cleating through Peal% LUC, Sway owned att." old* Banta New Yak Mellon Corporation OW( Mellon M_00046432 Ptrshine 11C. rnendx. FIN AW Se& RA. DB-SDNY-
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COUNT 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 ANDIOR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE
: Page '5 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Kellent tan Year Sege 2001 DALBAR RATED COMMUNICATIONS around Cleating through Pershing LLC.a Swayowned stinicliory of theBarka New Yak Mellon Co•Pontion OM Melee/ Penning 11C.mendx. FiNRA.A7s r DB N MY:000000946134
COUNT 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 APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE
isYear Yield 6,531.88 0.92% 86,531.88 Page 3 of 8 CONFIDWFAL armee Rated (Kent.% (n.y Year Sect 2C01 DALBAR RATED COMMUNICATIONS acittuta Cleating through hating ac a abaft ("mod ninicliary of the Bark a Now Ycelt Melba CorporationSW Afelleal Ft shim 11.C. mends FINRPARtqfPA—00047172 DB-SDNY
Entities connected to both THE CLEARING FACILITY and Cleating
THE BOARD OF GOVERNORS OF
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
CUSTOMS
ORGANIZATION
Jeff Sessions
PERSONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONPie Chart
ORGANIZATIONMoney Market Fund
ORGANIZATION
Baltimore
LOCATION