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efta-01454087DOJ Data Set 10Other

EFTA01454087

Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01454087
Pages
1
Persons
0
Integrity

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
APPENDIX INSTRUCTIONS TO EXECUTING BROKER REGARDING THE MAILING OF CONFIRMATIONS The undersigned customer has entered into an Agreement For Prime Brokerage Clearance Services (the "Agreement") with Executing Broker (EB") which provides, among other things, that EB shall issue a confirmation for each transaction it executes on behalf of the undersigned, unless the undersigned directs EB, in writing, to send confirmations to the undersigned in care of the undersigned's prime broker. The undersigned hereby requests that EB send confirmations to the undersigned in care of the undersigned's prime broker. This instrument shall not be deemed to be either incorporated in or made a part of the Agreement. The undersigned acknowledges that if its account is managed on a discretionary basis by an investment advisor or money manager, each confirmation may cover a single bulk trade representing transactions that have been commingled with those of other accounts of the undersigned's advisor. By accepting. these instructions, EB hereby acknowledges that this instrument is not a condition for entering into the Agreement or the prime brokerage arrangement. EB further agrees that it shall not charge differential fees based on whether an instruction such as this is provided nor shall EB otherwise create incentives for the undersigned to execute this instrument. Typed or Printed Name Signalise Account Number Typed or Printed Name Social Security or Tax ID Signature Date O2011 Pershing LLC. Pershing LLC. member F1NRA. NYSE. SIPC. is a subsidiary of The Bank of New York Mellon Corporation. Page 10 of 10 Trademark(s) belong to their respective owners. FRM-PRMBRK-12-11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0112014 CONFIDENTIAL SONY GM_00258198 EFTA01454087

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