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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 OCECIMON: NOTWITHSTANDING THE P
ellent Every Yew Sax 2007 DALIN, MILD COMPAINICATIONS EXCSADICE Cleats Ilveugh holing MC • SW/ sad subwhary Oft emit of New York Mellon Comm.'s CONY Mellon) ;in t,* c INRAAttlYaGM_00047745 DB-SDNY-0010569 EFTA_00158354 EFTA01290382 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAN 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 EXECUTION: NOTWITHSTANDING THE P
t bey Yew Since 2007 DAMMAM COOMAUNICATIO.6 ID(COUNCE Clewing Ivad, Pen al% MC • Sway waned subsidiary ol the Sant of New York Mete C.:vanities CONY Mellon) Pen:we11C FINRAVAIYALGM_000443994 DB-SDNY-0011818 EFTA_00159603 EFTA01291247 Messages Although a money market mutual fund seeks to preserve
OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN 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 OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE P
tan Year Sect 2C0/ DALBAR RATED COMMUNICATIONS 'nutria Cleating throush haft LLC. a Sway owned adnicliory of Ow urea New Yak Mellon Co•Potation CONY Mellon Ptrshine 11C. M FINRA.AW 00046411 DB-SDNY-OOO9235 EFTA_OO 157O2O EFTA01289383 Activity Summary (continued) Cis/ALIN:NW Debits Diskirled Ne
Entities connected to both BNY MELLON CAPITAL MARKETS and CONY Mellon
USAGES
ORGANIZATION
Jeff Sessions
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION
CUSTOMS
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing
LOCATIONthe State of New York
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONJersey City
LOCATION
Baltimore
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION