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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01361619: Treat (DS10)

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This document is a compliance or procedural excerpt discussing FINRA Rule 4340 requirements for Pershing to maintain procedures designed to treat clients fairly during partial security redemptions. The excerpt contains standard regulatory language without identifying specific parties, transactions, or case details.

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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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