| 1 | Copy of securities firm permit. | |
| 2 | For securities firms to fulfill settlement obligations on securities trading markets. | |
| 3 | When a firm quote is provided, the trade will be executed upon its confirmation by another securities firm. | |
| 4 | The deal combines the largest U.S. bank by deposits with the world's largest brokerage. | |
| 5 | Article 14 A securities firm conducting securities business money lending shall sign and execute a loan contract with the customer. |