Case Filesd-10-EFTA01468629Dept. of JusticeEFTA Document EFTA01468629
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Case File
sd-10-EFTA01468629Dept. of JusticeEFTA Document EFTA01468629
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Fax: 212.577.4506 E-Mail: [email protected] INSTITUTIONAL SUITABILITY CERTIFICATE AFFIRMATIVE INDICATION OF EXERCISE OF INDEPENDENT JUDGMENT (Pursuant to FINRA Rule 2111)1 In connection with any recommended2 transaction or investment strategy by a registered broker-dealer, the undersigned acknowledges on behalf of the Institution named below that: I II. It is an Institutional Account as defined in FINRA Rule 4512(c)3; It (1) is capable of evaluating investment risks indepe
Date
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Source
Dept. of Justice
Reference
sd-10-EFTA01468629
Pages
2
Persons
0
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