Epstein Index›Documents›EFTA01361693
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01361693: Treat (DS10)

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This document contains a reference to FINRA Rule 4340 regarding procedures that Pershing (a financial services firm) must implement to treat clients appropriately during partial security redemptions. The excerpt does not provide specific details about Epstein's accounts, transactions, or involvement, but appears to be part of financial compliance documentation related to securities intermediary procedures.

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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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