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sd-10-EFTA01420375Dept. of JusticeOther

EFTA Document EFTA01420375

Subject: RE: [C] From: Vahe Stepanian < Date: Thu, 13 Jul 2017 10:57:04 -0400 To: Richard Kahn Cc: Stewart Oldfield < 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 t hat we would need on file before trading OTC options. Thank you, vahe Original Message From: Richard Kahn [mailt0: Sent: Thursday, July 13, 2017 10:27 AM To: V

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Subject: RE: [C] From: Vahe Stepanian < Date: Thu, 13 Jul 2017 10:57:04 -0400 To: Richard Kahn Cc: Stewart Oldfield < 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 t hat we would need on file before trading OTC options. Thank you, vahe Original Message From: Richard Kahn [mailt0: Sent: Thursday, July 13, 2017 10:27 AM To: V

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Subject: RE: [C] From: Vahe Stepanian < Date: Thu, 13 Jul 2017 10:57:04 -0400 To: Richard Kahn Cc: Stewart Oldfield < 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 t hat we would need on file before trading OTC options. Thank you, vahe Original Message From: Richard Kahn [mailt0: Sent: Thursday, July 13, 2017 10:27 AM To: Vahe Stepanian <M ifl> Cc: Stewart Oldfield 5 > Subject: are we equip to sell puts? Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell EFTA01420375

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Original Message » • From: Richard Kahn [mailto: » Sent: Thursday, Jul 13 201 11: AM » To: Vahe Stepanian » Cc: Stewart Oldfield Darren Indyke Jeanne Brennan » Subject: Re: [C] » AMD » thank you » • Richard Kahn » HBRK Associates Inc. » 575 Lexington Avenue 4th Floor » New York, NY 10022 » tel 212-971-1306 » fax 212-320-0381 » cell >» • On Jul 13, 2017, at 11:07 AM, vahe Stepanian wrote: >» >» Classification: Confidential >» >» What is ticker? >» >» Original Message

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