Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is an appendix to an account agreement between DBSI and a client, outlining important disclosures and definitions. It covers topics such as confirmations, loaning/pledging securities, trade reports, foreign securities, freeriding, and non-US resident considerations.
Metadata
- Subject
- APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0103553
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | Business | Client | DBSI provides account services to the Client. |
| 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.
Paying for the purchase of securities in a cash account with the proceeds of their subsequent sale, known as freeriding, violates Regulation T of the Federal Reserve Board, is prohibited and may, among other things, result in Client's Account being restricted or closed.
Financial Information
Assets:
- Securities
- Other Property
- Foreign Securities
Legal Compliance
- Regulation T of the Federal Reserve Board
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
DBSIPershingSecurities and Exchange CommissionFederal Reserve Board
Locations 1
United States
Text Analysis
- Tone
- Professional
- Purpose
- To disclose important information and definitions related to the account agreement between DBSI and the Client.
- Significance
- This document outlines the terms and conditions of the account agreement, including disclosures about confirmations, loaning/pledging securities, trade reports, attachments, foreign securities, freeriding, lottery allocation, investment adviser capacity, and non-US resident considerations.
File Info
- File Name
- EFTA01448508.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:29.325750
- DOJ Source
- View on DOJ