EFTA01374390.pdf

From: Vahe Stepanian Sent: 7/13/2017 10:57:04 AM To: Richard Kahn CC: Stewart Oldfield Subject: RE: IC) Classification: Confidential Hi Rich - Southern Financial can trade listed options, including sold puts. on the FX question - currently SFLLC cannot buy OTC options. There is Dodd Frank related paperwork that we would need on file before trading OTC options. Thank you, Vahe Original Message From: Richard Kahn [ Sent: Thursday, To: vahe Stepanian Cc: Stewart Oldfield Subject: are we equip to sell puts? Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 10022 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069051 CONFIDENTIAL SDNY_GM_00215235 EFTA01374390