Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document outlines the eligibility requirements for the DB AG NY Sweep Program, specifying that participants must be accredited investors and detailing the roles of DBSI, DBTCA, Pershing, and Deutsche Bank AG. It also describes the deposit and withdrawal processes within the program.
Metadata
- Subject
- DB AG NY Sweep Program Eligibility and Summary
- Sender
- —
- Recipients
- —
- Document ID
- WM179143 015105.011718
- Date
- —
Relationships 5
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | regulatory | U.S. Securities and Exchange Commission | DBSI is a broker-dealer registered with the U.S. Securities and Exchange Commission. |
| DBSI | membership | Financial Industry Regulatory Authority | DBSI is a member of the Financial Industry Regulatory Authority. |
| DBSI | membership | New York Stock Exchange | DBSI is a member of the New York Stock Exchange. |
| DBTCA | corporate affiliate | DBSI | DBTCA is a corporate affiliate of DBSI. |
| Pershing | clearing broker | DBSI | Pershing, DBSIS clearing broker, acts as exclusive custodian and agent with respect to all transactions related to the DB AG NY Sweep Program. |
Notable Quotes 2
To be eligible for the DB AG NY Sweep Program, at the time of initial deposit you must be an "accredited investor' as defined under Regulation D under the Securities Act of 1933, as amended.
In deciding whether to participate in the DB AG NY Sweep Program, you must rely on your own examination of Deutsche Bank AG and the Branch including the merits and risks involved.
Financial Information
Amounts:$250,000
Transactions:
- Deposits into MMDA
- Withdrawals to satisfy debits in brokerage accounts
- Securities sales
- Non-trade related credits (e.g. dividend or interest payments)
- Fund transfers
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 8
DB AGDeutsche Bank AGDBSIU.S. Securities and Exchange CommissionFinancial Industry Regulatory AuthorityNew York Stock ExchangePershingDBTCA
Locations 2
NYU.S.
Financial Entities 1
Deutsche Bank AG
Text Analysis
- Tone
- Informative
- Purpose
- To outline the eligibility requirements and summary of certain relationships for the DB AG NY Sweep Program.
- Significance
- This document provides details about the DB AG NY Sweep Program, including eligibility, relationships between involved entities, and deposit/withdrawal procedures.
File Info
- File Name
- EFTA01377861.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:50.618237
- DOJ Source
- View on DOJ