Document Mentions (3 shared documents)

EFTA01289201_sub_001 - EFTA01289201_100

3 mentions1 same-page

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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

6 98 BO 10 0 24 2C SF30 0 25 CONFIDO. L Rated Eaceilent (my Year time 2007 DMIAR IMO COMMUNICATIONS EXCILlatta 28.291 14 290% Page 10 of 31 Cleating through Penang IIC *tab./ evened sateldiery of Tl,e Bank a New Yeelt Melee Ceoporatton (IINY atelloo) Per ihnx 11.C.nntrber l a) DB-SDNY-0009062

0% Page 7 of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated boalent beet Year Sege 200/ DAIL!, RATED COMUNICATCP6 'Karmic( Cleating through Pantiles11C. a Sbany owned stidlary Oft...mkt/ New Yak Mellon Como-melon (MY Mellon) Petshift lit. mends FINRA.Pk DB- SDNY-0009135 keM°°4

EFTA01289201_sub_002 - EFTA01289201_200

2 mentions1 same-page

Page ?Same page

: 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

EFTA01290001_sub_001 - EFTA01290001_100

2 mentions1 same-page

Page ?Same page

OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID 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

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