EFTA Document EFTA01381859

From: Richard Kahn Sent: 7/13/201711:06:05 AM To: Vahe Stepanian CC: Stewart Oldfield Darren Indyke eanne Brennan Subject: Re: (C) we would like to sell 200 contracts of the August 13.00 strike puts at 70c or better in SFL please confirm with darren thank you Richard Kahn HBRK Associates Inc. S7S Lexington Avenue 4th Floor New York. NY 10022 > on Jul 13, 2017, at 10:57 AM, vahe Stepanian < > wrote: > • 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, July 13, 2017 10:27 AM > To: vahe Stepanian > Cc: Stewart Oldfield > Subject: > • are we equip to sell puts? > • Richard Kahn > HBRK Associates Inc. > 575 Lexington Avenue 4th Floor > New York. NY 10022 > tel > fax > 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081047 CONFIDENTIAL SDNY_GM_00227231 EFTA01381859