EFTA01465606.pdf

Subject: Rich Kahn [I] From: Amanda Kirby < Date: Thu, 31 Oct 2013 11:22:16 -0400 To: Paul Morris Classification: For internal use only ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA, on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision. (See attached file: Richard D Kahn RDC alertl.pdf) Best, Amanda Kirby (Embedded image moved to file: pic02713.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 mai (Embedded image moved to file: pic16871.gif) EFTA01465606