EFTA Document EFTA01373834

On Jul 13, 2017, at 10:57 AM, Vahe Stepanian rote: • Classification: Confidential >> • Hi Rich - southern Financial can trade listed options, including sold puts. » • On the FX question - currently SFLLC cannot buy OTC options. There is Dodd Frank related paperwork that we would need on file before trading OTC options. » • Thank you, » vahe original Message » • From: Richard Kahn [mailto: » sent: Thursday, Jul 13. 2 : ». To: vahe stepanian » Cc: stewart oldfiel > Subject: » • are we equip to sell puts? Richard Kahn » HBRK Associates Inc. » 575 Lexington Avenue 4th Floor • New York, NY 10022 • tel 212-971-1306 • fax 212-320-0381 » cell >> > > > > > > > > > > > > > > » This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. » • Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. » • Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. > • This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. > • Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. > • Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068221 CONFIDENTIAL SDNY_GM_00214405 EFTA01373834