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 report from Pershing providing information about realized gains and losses, cost basis calculations, and their impartial lottery process for partial calls. It includes disclaimers regarding the accuracy of tax information and references FINRA Rule 4340.
Metadata
- Subject
- Schedule of Realized Gains and Losses Current Period
- Sender
- Pershing
- Recipients
- —
- Document ID
- DB-SDNY-0050942, SDNY_GM_00197126
- Date
- 2015-01-31
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Pershing | reporting | IRS | Pershing provides tax information to the IRS on behalf of its clients. |
| Pershing | regulatory compliance | FINRA | Pershing follows FINRA Rule 4340 regarding impartial lottery process for partial redemptions. |
| DTCC | financial | Pershing | DTCC conducts an impartial, computerized lottery to determine the allocation of called securities to participants, including Pershing. |
Notable Quotes 2
When you report your cost basis on your tax return, it should be verified using all of your own records.
Although a money market mutual fund seeks to preserve the value of your investment at Si per share, it is possible to lose money by investing in a money market mutual fund.
Financial Information
Amounts:Si per share$25,000
Assets:
- Fixed income securities
- Money market mutual funds
- Bank deposit products
- Bonds
Transactions:
- Realized Gains and Losses
- Cost Basis adjustments for amortization, accretion or principal paydowns
- Partial redemption of securities
- Liquidation of money market mutual fund shares or bank deposit product balance
Legal Compliance
- Disclaimer regarding accuracy of information reported to the IRS or other taxing authorities.
- Reference to FINRA Rule 4340 regarding impartial lottery process.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationCommunications/correspondence
Organizations 7
PershingIRSFederal Deposit Insurance Corporation (FDIC)Securities Investor Protection Corporation (SIPC)DWS InvestmentsFINRADepository Trust Clearing and Corporation (DTCC)
Financial Entities 1
DWS money market funds
Text Analysis
- Tone
- Informative, disclaimer-heavy
- Purpose
- To provide information about realized gains and losses, cost basis calculations, and Pershing's impartial lottery process for partial calls.
- Significance
- This document outlines important information regarding tax reporting, cost basis adjustments, and the process for handling partial redemptions of securities.
File Info
- File Name
- EFTA01361716.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:03.395207
- DOJ Source
- View on DOJ