Case File
efta-01583313DOJ Data Set 10OtherEFTA01583313
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01583313
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
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Derivative and Foreign Exchange (FX) /Commodity Transactions
Regulated by the Dodd-Frank Wall Street Reform and Consumer
Protection Act (the "Dodd-Frank Act")
J.P.Morgan
C. Derivatives Approval Level (not applicable for Exempt Transactions)
Level 1: Covered Writing
Level 2: Buying Options
level 3: Spreads
level 5: Uncovered Writing
Level 6: Combinations/Straddles
OTC Options
174
Pt
17
rt
Please check all that apply:
g Equity
jr Emerging markets
pT,Foreign exchange
',Tithed Income
OVER ME COUNTER (OTC) OPTIONS INCLUDES TRADING Of INTEREST um SWAPS AND OtEDIT DEFAULT SWAPS
FOREIGN EXCHANGE OPTIONS INCLUDES TRADING OF NON DELIVERABLE Pr AND COMMODITY FORWARDS, COMMODITY OPTIONS AND PRECrouS METALS
D. Admowledgment
By signing this Agreement, the diem acknowledges that: (1) he, she or It requested the derivatives approval level as indicated above and
(2) the client shall promptly advise J.P. Morgan Securities LLC, In writing, of any material changes in his, he or Its financial droimstances
and options investment objectives.
E. Signatures (All
nt owners aft fflgUlted Et fi r
below)
bg{(3
JEFFREY E. EPSTEIN
17 >
(*Signature (Accountholder)
Print Name
Signature (Accountholder)
Date
Print Name
Signature (Accountholder)
Date
Print Name
Signature (Accountholder)
Date
Print Name
J.P. Morgan Use Only
Approvals: I have reviewed the client's suitability profile, Including: Investment objectives, Investment experience, and financial condition
and agree that (a) the options level Indi
ed above Is appropriate for the client, and (b) if the diet has elected to conduct Exempt
Transactions and/or DerivajiwtS hey ar
for the client.
JPM RR Signatu
Date 45.1.13_
JPM ROSFP Signature
Date
JPM S-ROSFP Signature
Date ,
77T/
(OTC Options Levels 5 & 6)
).P. Morgan Use Only
Title
SPN
CAS
5 of 5
banker/Investor
6/13 1072
Confidential Treatment Requested by JPMorgan Chase
JPM-SDNY-00062960
EFTA01583313
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