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sd-10-EFTA01356578Dept. of Justice

EFTA Document EFTA01356578

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OBDM RULES ASSIGNMENT DEFINITION FUNCTION: CORR: 6XE ACCOUNT: DATA: ALL ____ PAGE FORWARD IS AVAILABLE RR: ASGN INHERITED OUT RULE COME RULE CODE 01806 01809 RULE DESCRIPTION DISCRETIONARY TRADE IN NON-DISC ORDER IN CLIENT ACCOUNT EXCEEDS A 01900 REVIEW ALL ACTIVITY y A 01901 REVIEH BUYS A 01902 REVIEH SELLS 01903 REVIEH SHORT SALES A 01904 REVIEH EQUITY ACTIVITY 01905 REVIEW MUTUAL FUND ACTIVITY A 01906 REVIEH OPTION ACTIVITY 01907 REVIEH CXL/RPL ACTIVITY

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Dept. of Justice
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sd-10-EFTA01356578
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