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Trading Manual

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Responsibilities and Acknowledgments of the customer when conducting business through the Ira Epstein Division of Linn & Associates
trading-manual

  1. The customer, not the broker, is fully responsible for knowing and using proper procedures and terminology in the placement, modification and cancellation of orders as specified in this manual.
  2. The customer, not the broker, is fully responsible for knowing all open positions, prices and all pending unfilled or day orders.
  3. The customer, not the broker, is fully responsible to keep himself apprised of current margin requirements as they may be from time to time modified in the sole discretion of the broker or market maker.
  4. The broker has the authority, in its sole and absolute discretion to liquidate any open position, without prior notification to the customer.
  5. The customer is required to deposit and always maintain in his account sufficient funds to with any and all margin requirements from time to time established by the broker, in its sole and absolute discretion, and to comply with all applicable exchange or legally imposed margin requirement.
  6. The broker shall not be responsible for the failure of an independent data processing or service bureau to accurately perform any record keeping, pricing or related functions.
  7. The broker shall not be responsible for any loss or damage caused directly or indirectly from any delays or inaccuracies in the transmission of orders or other information by or through any transmission or communication facilities.
  8. This division and its clearing firm shall only be liable for actions or inactions by them which amount to gross negligence.

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