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Epstein File EFTA01361737: Treat (DS10)

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This document discusses financial procedures related to securities redemptions under FINRA Rule 4340, specifically addressing how Pershing must establish procedures to treat clients appropriately during partial redemptions. The excerpt focuses on regulatory compliance requirements rather than case-specific facts. No dates, individuals, or amounts are specified in the available text.

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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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