Illegal Activity
none
Blackmail
none
Date
2018-02-08
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an appendix to an account agreement between a client and DBSI, outlining disclosures and definitions related to the account. It covers topics such as confirmations, loaning of securities, foreign securities risks, and compliance with regulations.
Metadata
- Subject
- Appendix to account agreement: Disclosures and definitions
- Sender
- —
- Recipients
- —
- Document ID
- WM189776 015684.080218
- Date
- 2018-02-08
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Business | DBSI | Client has an account with DBSI |
| DBSI | Business | Pershing | DBSI may lend securities to Pershing |
Notable Quotes 2
Client understands that while securities held for Client's Account(s) are loaned out Client will lose voting rights attendant to such securities.
Client is responsible for knowledge of and adherence to any such laws, rules and regulations and reporting or filing requirements in Client's country or domicile of residence that might apply as a result of Client's Account with 0BSI in the United States.
Financial Information
Assets:
- Securities
- Other Property
- Foreign Securities
Legal Compliance
- Freeriding Prohibited (Not Applicable to Margin Accounts). Paying for the purchase of securities in a cash account with the proceeds of their subsequent sale, known as freedding. violates Regulation T of the Federal Reserve Board, is prohibited and may, among other things, result in Client's Account being restricted or dosed.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondence
Organizations 4
DBSIPershingSecurities and Exchange CommissionFederal Reserve Board
Locations 1
United States
Text Analysis
- Tone
- Professional
- Purpose
- To provide disclosures and definitions related to an account agreement with DBSI.
- Significance
- This document outlines the terms and conditions of an account agreement, including risks associated with foreign securities and the handling of client assets.
File Info
- File Name
- EFTA01378953.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:53.975125
- DOJ Source
- View on DOJ