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Appiicabie Law
Organization
2
Total Mentions
2
Documents
26
Connected Entities
Organization referenced in documents
Document Mentions (2)
EFTA01465344.pdf
1 mentionEFTA01465344
market or broker that DBSI selects. 4. Rules and Regulations. All transactions in Account(s) shali be conducted in accordance with and subject to Appiicabie Law. 13-AWM-0196 012145.032813 5. Purchase of Securities. DBSI requires that cash accounts contain sufficient funds to settie a transaction, but has
EFTA01465437.pdf
1 mentionEFTA01465437
10% stockhoider, or otherwise ciassified as a controi person or insider, or securities that are subject to any restrictions on resaie (whether by Appiicabie Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationall
Sponsored
Connected Entities(20 of 26)
United States
LocationCountry located primarily in North America
2 docs2 co-mentions
Deutsche Bank Trust Company Americas
OrganizationDeutsche Bank Trust Company Americas, US trust company subsidiary of Deutsche Bank AG
2 docs2 co-mentions
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
2 docs2 co-mentions
Federal Reserve
OrganizationFederal Reserve System, central banking system of the United States
2 docs2 co-mentions
Deutsche Bank
OrganizationGerman global banking and financial services company
2 docs2 co-mentions
Department of Labor
OrganizationU.S. federal department that regulates workers' rights and labor markets
2 docs2 co-mentions
Deutsche Bank Securities Inc.
OrganizationDeutsche Bank Securities Inc., US broker-dealer subsidiary of Deutsche Bank AG
2 docs2 co-mentions
Securities Investor Protection Corporation
OrganizationFederally chartered corporation protecting investors in failed brokerages
2 docs2 co-mentions
the State of New York
LocationState in the northeastern United States
2 docs2 co-mentions
FDIC
OrganizationUS government agency providing deposit insurance
2 docs2 co-mentions
Pershing LLC
OrganizationBNY Mellon subsidiary providing clearing and settlement services
2 docs2 co-mentions
Adobe Reader
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Pershing
LocationFinancial district location, likely Pershing Square or Pershing LLC
2 docs2 co-mentions
the U.S. Tax Equity
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Customer Inquiries/Customer Complaints
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Foreign Securities which Client
OrganizationOrganization referenced in documents
2 docs2 co-mentions
the Margin Account
OrganizationOrganization referenced in documents
2 docs2 co-mentions
the "Pershing Lien
OrganizationOrganization referenced in documents
2 docs2 co-mentions
The Terms and Conditions of this
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Compliance Department - Client Inquiries
OrganizationOrganization referenced in documents
2 docs2 co-mentions