Illegal Activity
none
Blackmail
none
Date
2015-01-31
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a portfolio holdings report that includes information about cost basis reporting rules and Pershing's impartial lottery process. It outlines the value of the portfolio and provides details on how securities are handled in partial redemptions.
Metadata
- Subject
- Portfolio Holdings
- Sender
- —
- Recipients
- —
- Document ID
- N46-024935
- Date
- 2015-01-31
Relationships 1
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | regulatory | FINRA | Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process, pursuant to FINRA Rule 4340. |
Notable Quotes 2
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRV) (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered," under the new cost basis reporting rules, and marked or denoted as such.
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.
Financial Information
Amounts:26,289,403.6626,233,218.47556,185.0976,527.05
Assets:
- Total Portfolio Holdings
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flow
Organizations 11
Internal Revenue CodeIRVEmergency Economic Stabilization Act of 2008IRSPershingFederal Deposit Insurance Corporation (FDIC)Securities Investor Protection Corporation.(SIPC)DWS InvestmentsFINRADepository Trust Clearing and CorporationDTCC
Text Analysis
- Tone
- Informative
- Purpose
- To provide information about portfolio holdings, cost basis reporting rules, and Pershing's impartial lottery process.
- Significance
- This document provides a snapshot of portfolio holdings and explains important regulatory and procedural information related to securities and tax reporting.
File Info
- File Name
- EFTA01361619.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:52.502645
- DOJ Source
- View on DOJ