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Division of Trading and Markets No-Action Letter: Deutsche Bank
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Document Date: 2014-06-05 17:44:02

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File Size: 2,90 MB

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City

York / European / MOSCOW / Hannover / Washington / D.C. / Munich / SAO PAULO / MILAN / New York City / Hamburg / BUENOS AIRES / ABU DHABI / Frankfurt am Main / WASHINGTON / DC / Berlin / ROME / COLOGNE / Stuttgart / BEIJING / Frankfurt / Dusseldorf / London / BRUSSELS / Ofthese European / /

Company

DB Commodity Services LLC / Deutsche Bank / DWS Investment Distributors Inc. / ofBoerse Stuttgart Holding GmbH / Deutsche Bank National Trust Company / THE PARTNERS IS LIMITED / Deutsche Bank Securities Inc. / New York Stock Exchange / ofNomura Holdings Inc. / Financial Industry Regulatory Authority / Deutsche Bank Trust Company Delaware / Turquoise Services Limited / DB Investment Managers Inc. / Deutsche Bank Affiliates / ADTV ofDeutsche Bank / HEINZ / Cleary Gottlieb Steen & Hamilton LLP / EUWAX AG / DeAWM / Frankfurt Stock Exchange / Deutsche Bank Trust Company Americas / Prudential / Deutsche Borse AG / RREEF America L.L.C. / Chi-X Europe Limited / DBX Advisors LLC / Deutsclte Bank / Deutsche Investment Management Americas Inc. / CB&S / Deutsche Bank Management Americas Inc. / DBX Strategic Advisors LLC / Deutsche Bank Trust Company N .A. / Alternative Real Funds / /

Continent

Europe / Asia / /

Country

Australia / United Kingdom / Germany / United States / /

Currency

USD / EUR / /

Event

Second Stock Issuance / Product Recall / M&A / Security Buyback / Product Issues / /

Facility

BAR AVOCAT AU BARREAU DE PARIS COLOGNEt / /

IndustryTerm

subsidiary / real estate investment solutions / wealth management / indirect subsidiary / structured products / investment banking / applicable local law / financial services / bank / investment management / respective product / unsolicited brokerage / investment services / asset management / private banking / retail and commercial banking / mutual fund distributors / ordinary investment management / market maker / /

MarketIndex

DAX 30 / /

Organization

DE PARIS / Financial Conduct Authority / European Parliament / German Federal Financial Supervisory Authority / FINRA / SECURITIES AND EXCHANGE COMMISSION WASHINGTON / DC / European Union / Securities and Exchange Commission / Prudential Regulation Authority / Division of Trading and Markets / Department of the Treasury / Division of Trading and Markets Securities and Exchange Commission Attention / United Nations / /

Person

OLIVER SCHRODER THOMAS / THOMAS KOPP SILK / Ward A. Greenberg / TILMAN KUHN / THOMAS M BUHL MANUEL METZNER / Josephine Tao / WOLFGANG KNAPP / Ward A. Greenberg June / STEPHAN BARTHELMESS RECHTSANWALT AVOCAT AU / DANIEL WEYDE / RICHARD KREINDLER MAIN TOWER NEUE / MICHAEL BREMS / J F DANIEL / GABRIELE APFELBACHER / WARD A GREENBERG / /

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Position

broker affiliates / broker / executing broker / commodity pool operator/commodity trading advisor / U.S.-registered broker-dealer / affiliate broker dealer / ATTORNEY / counsel / affiliated U.S. broker-dealer / investment advisors / Assistant Director / /

Product

significant market maker / /

ProvinceOrState

NEW / /

RadioStation

Attachment FRANKFURT AM / FRANKFURT AM / /

TVStation

KETS / /

SocialTag