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CRIM. P. 6(e) CONFIDAENTIAL [Mal if Pel otriwtifietrZraNtitOesiZionlININIII0••• SDW_Cat00047662 DB-SONY-0010486 EF1'A_00158271 EFTA01290299 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of some arbitration forums may impose time limits for bringing a darn in arb
WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL INFORMATION TO ASSIST N ACCUMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS
RD COMMUNICATIONS Xt7 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of T SDW_GM 00049313 DB-SDNY-0012137 EF1'A_00159922 EFTA01291566 Important Information and Disclosures (continued) Foreign Currency Transactions Pershrg may execute foreign currency transactions as principal for your account. Pershing may automatical
NG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO NCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THI
*Say eI The Unit of New York Melba CspontiNo (MY Melon) Penh...x11C. newt*. FIIRAcitlYtErIM_00047850 DB-SDNY-0010674 EFTA_00158459 EFTA01290487 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration forum in which the claim is filed. and any amendments the
WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THI
Entities connected to both Important Information and Disclosures and NCLUDES
Pershing
LOCATIONthe Pershing Customer Service Department
ORGANIZATION
Jeff Sessions
PERSONthe State of New York
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATION
CUSTOMS
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTAXABLE
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATIONClient Service Information
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATION
Baltimore
LOCATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONPie Chart
ORGANIZATIONTIME PERSHING
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION