Case File
efta-01583234DOJ Data Set 10OtherEFTA01583234
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01583234
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
JPM 5-ROSFP Signature
(OTC Options Levels 5 & 6)
Derivative and Foreign Exchange (FX) /Commodity Transactions
Regulated by the Dodd-Frank Wall Street Reform and Consumer
Protection Act (the "Dodd-Frank Act")
Morgan
C. Derivatives Approval Levet (not applicable For Exempt Transactions)
OTC Options
Level 1: Covered Writing
level 2: Buying Options
Level 3: Spreads
Level 5: Uncovered Writing
Level 6: Combinations/Straddles
Please check all that apply:
EQUItY
(X_ Emerging markets
wit-reign exchange
Rjfixed Income
OVER THE COUNTER (OTt) OPTIONS triaucies TRADING OF INTIDIEST RATE SWAPS AND CREDIT O&AULT SWAPS
FOREIGN FXOIANGE OPI7ONS INCLUDES TRADING OF Nov DeJvERABLE FX AND G0'0,0017) FORWARDS. COPPNODITy OPTIONS AND PRECIOUS METALS
D. Aciatowledgment
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 Ur., In writing, or any material changes in his, her or its financial circumstances
and options investment objectives.
E. Signatures (All a-s
nt owners are required to sign below)
('Signature (Accountholde-)
f=>
CoL35(13
JEFFREY E. EPSTEIN
Pnnt Name
Signature (Accountholder)
Date
Print Name
Signature (Accountholder)
Date
Prtn,. 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 indi
ed above IS appropriate for the client, and (b) If the client has elected to conduct Exempt
Transactions end/or Derive
for the tlient.
JPM RR Signature
/PM ROSFP Signature
Date
Date
Dare
I
J.P. Morgan Use Only
S of 5
Title
SPN
Banker/Investor
CAS
6/13 1072
Confidential Treatment Requested by JPMorgan Chase
JPM-SDNY-00062869
EFTA01583234
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