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New Jersey 07399; (201) 413-3330. Page S of 9 A01006/C5N5FID 0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) L IIMeamearnt (my Vox Sine M07 DAIJAR WED COMMUNICATIONS (XCOAD.C( Oaring Sae. hakes LLC, a wbolly armed subsidiary as WS of New VO4 Mellon Pentw, Ceeponthal (SPO' Mellon) C, 'newt, ANIY4jeLGM_0004 7
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST OCECIMON: NOTWITHSTANDING THE P
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FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: NOTWITHSTANDING THE PR
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FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. N ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: NOTWITHSTANDING THE PR
Entities connected to both DAIJAR WED COMMUNICATIONS and BNY MELLON CAPITAL MARKETS
THE CLEARING FACILITY
ORGANIZATION
Jeff Sessions
PERSON
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing
LOCATIONLegal Department
ORGANIZATIONthe State of New York
LOCATIONPershing LLC
ORGANIZATIONJersey City
LOCATION
Baltimore
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION