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efta-01480062DOJ Data Set 10Other

EFTA01480062

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Source
DOJ Data Set 10
Reference
efta-01480062
Pages
1
Persons
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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
IPM S-ROSFP Signature (OTC Options Levels S & 6) Derivative and Foreign Exchange (FX) /Commodity Transactions Regulated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") IP 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 Sel rt Please check all that apply: RI Equity rx7 Emerging markets Ff.; Foreign exchange R. Fixed Income OVER THE COUNTER (OTC) OPTIONS INCLUDES TRADING OF INTEREST RATESWAPSANO CREDIT °SAULT SWAPS FORFJGN EXCHANGE OPTIONS INCLUDES TRADING OF NON DelvERAStE PX AND COMMODITY FORWARDS, CONWOODY OPTIONS AND PRECIOUS ME/A'S D. Acknowledgment By signing this Agreement, the client 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, her or Its financial circumstances and options investment objectives. E. Signatures (Ail a nt owners are required to sign below) 1:: > (-Signature (Accountholder) E:D• ) f (O1atc )43 JEFFREY E. EPSTEIN Print Name Signature (Accountholder) Date Print 'Jame Signature (Accountholder) Date Print Name Signature (Accountholder) Date Print Name 3.P. Morgan Use Only Approvals: I have reviewed the clients suitability profile, including: Investment objectives, Investment experience, and financial condition and agree that (a) the options level Ind ed above is appropriate for the client, and (b) if the client has elected to conduct Exempt Transactions and/or Deny for the client. 1PM RR Signature Date 3PM ROSFP Signature Date Kf Date ; , J.P. Morgan Use Only of 5 Title SPN Banker/Investor CAS 6/13 1072 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPNI-SDNY-00002113 SDNY_GM 00271311 EFTA01480062

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