EFTA Document EFTA01356578

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 A 01908 REVIEH FIXED INCOME ACTIVITY A 01909 REVIEH OPTION SELL-TO-OPEN ACTI 6. Sheet 2 lists the accounts to un-code. On NetX360 under Acct Settings, update by deleting "RETAIL" or "RETAIL — UK HNW COMPANY" from the EEA Client field. (You may see "professional" or "per se professional" instead of "retail" in the EEA Client field. This would have been added as instructed via email from Robert McKay/BSO. The procedure is the same). Pleads DDA: MASTER MNEMONIC: USER DEFINED INFOI : USER DEFINED INFO3: EMAIL ADDRESS: AML RISK INDICATOR: INVESTEDGE ACCT: EEA CLIENT: Y 7. Remove Rule 1900 from the Rules Engine on Pershing mainframe Tool/Rule/Raup (the Custom Message should delete when the Rule is deleted. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042498 CONFIDENTIAL SDNY_GM_00188682 EFTA01356578