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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01361602: Treat (DS10)

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This document references FINRA Rule 4340 and discusses procedures that Pershing must implement regarding the treatment of clients in partial security redemption scenarios. The excerpt is incomplete and does not provide full details of the regulatory requirements.

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treat

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Excerpt 1
When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to **treat** clients

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Source: U.S. Department of Justice

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