Epstein Index›Documents›EFTA00197292
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA00197292: Bear Stearns (DS9)

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SEC Rule 11Ac1-6 quarterly report from Bear Stearns dated November 29, 2002, introducing a new Multi-Transaction Confirmation process for routing orders in equity and option securities. The document is a broker/dealer disclosure required by SEC regulations regarding order routing practices.

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🔑 Evidence Keywords
Bear Stearns

📋 Key Excerpts2

PersonKeyword
Excerpt 1
NUMBER TAXPAYER NUMBER On File LAST STATEMENT November 29, 2002 SEC Rule 11Ac1-6 (Quarterly report) requires broker/dealers that Your Investment Firm and **Bear**
Excerpt 2
**Stearns** are pleased to introduce a route orders in equity and option securities to disclose the identities new Multi-Transaction Confirmation to be rolled

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Source: U.S. Department of Justice

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