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FINRA Rule 4340
Organization
11
Total Mentions
11
Documents
118
Connected Entities
Organization referenced in documents
Document Mentions (11)
EFTA01291029.pdf
1 mentionEFTA01291029
printed copy of this information by calling (888) 367-2563, option 3 then option 5. Vvhen a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01291389.pdf
1 mentionEFTA01291389
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01361602.pdf
1 mentionEFTA01361602
a printed copy of this information by calling (888)367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
Sponsored
EFTA01361619.pdf
1 mentionEFTA01361619
a printed copy of this information by calhng (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01361642.pdf
1 mentionEFTA01361642
a printed copy of this information by calhng (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01361669.pdf
1 mentionEFTA01361669
a printed copy of this information by calhng (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
Sponsored
EFTA01361716.pdf
1 mentionEFTA01361716
a printed copy of this information by caling (688) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01361737.pdf
1 mentionEFTA01361737
printed copy of this information by calling (888) 367-2563. option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01290563.pdf
1 mentionEFTA01290563_sub_001 - EFTA01290563_100
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
Sponsored
EFTA01289764.pdf
1 mentionEFTA01289764_sub_001 - EFTA01289764_100
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
EFTA01290128.pdf
1 mentionEFTA01290128_sub_001 - EFTA01290128_100
printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer in
Sponsored
Connected Entities(20 of 118)
Pershing
LocationFinancial district location, likely Pershing Square or Pershing LLC
11 docs11 co-mentions
the DWS Investments
OrganizationOrganization referenced in documents
6 docs6 co-mentions
the Depository Trust Clearing and Corporation
OrganizationOrganization referenced in documents
6 docs6 co-mentions
Jeffrey Epstein
PersonAmerican sex offender and financier (1953–2019)
5 docs5 co-mentions
Account Value
OrganizationOrganization referenced in documents
5 docs5 co-mentions
CUSTOMS
OrganizationOrganization referenced in documents
5 docs5 co-mentions
USAGES
OrganizationOrganization referenced in documents
5 docs5 co-mentions
the Pershing Customer Service Department
OrganizationPershing customer service department
5 docs5 co-mentions
Deutsche Bank
OrganizationGerman global banking and financial services company
5 docs5 co-mentions
Deutsche Bank Securities Inc.
OrganizationDeutsche Bank Securities Inc., US broker-dealer subsidiary of Deutsche Bank AG
5 docs5 co-mentions
THE CLEARING FACILITY
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Daniel Sabba
PersonFinancial professional at Deutsche Bank Securities Inc. who served as Jeffrey Epstein's broker/director (2014-2017)
5 docs5 co-mentions
Client Service Information
OrganizationOrganization referenced in documents
5 docs5 co-mentions
the State of New York
LocationState in the northeastern United States
5 docs5 co-mentions
THE FEDERAL RESERVE SYSTEM
OrganizationOrganization referenced in documents
5 docs5 co-mentions
New York Stock Exchange
OrganizationNew York Stock Exchange
5 docs5 co-mentions
ON PERSHING'S
OrganizationOrganization referenced in documents
5 docs5 co-mentions
Larry Page
PersonAmerican computer scientist and Internet entrepreneur (born 1973)
5 docs5 co-mentions
TAXABLE
OrganizationOrganization referenced in documents
5 docs5 co-mentions
BNY Mellon
OrganizationOrganization referenced in documents
5 docs5 co-mentions