6. NYSE. AMEX or NASDAQ equity and Mutual flout shares valued at less than $10 00per share will be given a kfammum Advance gate
of0% (Zero) and will not be accexed as Collate:al
Advance mites!or Mutual Funds are subject to other internal guidelines and exposure limits aim effort!mu lane to
Confidential
Confidcntiol
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041364
CONFIDENTIAL SDNY_GM_00187548
EFTA01355997