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TDA5056

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TDA 5056 F 11/18
Last Update: March 4, 2013
AGREEMENT FOR
MARKET DATA DISPLAY SERVICES
TD Ameritrade Inc. ("Vendor") agrees to make "Market Data" available to you pursuant to the
terms and conditions set forth in this agreement. By executing this Agreement in the space
indicated below, you ("Subscriber") agree to comply with those terms and conditions. Section 1
sets forth terms and conditions of general applicability. Section 2 applies insofar as Subscriber
receives and uses Market Data made available pursuant to this Agreement as a Nonprofessional
Subscriber.
SECTION 1: TERMS AND CONDITIONS OF GENERAL APPLICABILITY
1. MARKET DATA DEFINITION – For all purposes of this Agreement, "Market
Data" means (a) last sale information and quotation information relating to securities that are
admitted to dealings on the New York Stock Exchange ("NYSE"), (b) such bond and other equity
last sale and quotation information, and such index and other market information, as United
States-registered national securities exchanges and national securities associations (each, an
"Authorizing SRO") may make available and as the NYSE may from time to time designate as
"Market Data"; and (c) all information that derives from any such information.
2. PROPRIETARY NATURE OF DATA – Subscriber understands and
acknowledges that each Authorizing SRO and Other Data Disseminator has a proprietary interest
in the Market Data that originates on or derives from it or its market(s).
3. ENFORCEMENT – Subscriber understands and acknowledges that (a) the
Authorizing SROs are third-party beneficiaries under this Agreement and (b) the Authorizing
SROs or their authorized representative(s) may enforce this Agreement, by legal proceedings or
otherwise, against Subscriber or any person that obtains Market Data that is made available
pursuant to this Agreement other than as this Agreement contemplates. Subscriber shall pay the
reasonable attorney's fees that any Authorizing SRO incurs in enforcing this Agreement against
Subscriber.
4. DATA NOT GUARANTEED – Subscriber understands that no Authorizing
SRO, no other entity whose information is made available over the Authorizing SROs' facilities
(an "Other Data Disseminator") and no information processor that assists any Authorizing SRO
or Other Data Disseminator in making Market Data available (collectively, the "Disseminating
Reset Form
TDA 5056 F 11/18
Last Update: March 4, 2013
Parties") guarantees the timeliness, sequence, accuracy or completeness of Market Data or of
other market information or messages disseminated by any Disseminating Party. Neither
Subscriber nor any other person shall hold any Disseminating Party liable in any way for (a) any
inaccuracy, error or delay in, or omission of, (i) any such data, information or message or (ii) the
transmission or delivery of any such data, information or message, or (b) any loss or damage
arising from or occasioned by (i) any such inaccuracy, error, delay or omission, (ii) non-
performance or (iii) interruption in any such data, information or message, due either to any
negligent act or omission by any Disseminating Party, to any "force majeure" (e.g., flood,
extraordinary weather conditions, earthquake or other act of God, fire, war, insurrection, riot,
labor dispute, accident, action of government, communications or power failure, equipment or
software malfunction) or to any other cause beyond the reasonable control of any Disseminating
Party.
5. PERMITTED USE – Subscriber shall not furnish Market Data to any other
person or entity. If Subscriber receives Market Data other than as a Nonprofessional Subscriber,
it shall use Market Data only for its individual use in its business.
6. DISSEMINATION DISCONTINUANCE OR MODIFICATION –
Subscriber understands and acknowledges that, at any time, the Authorizing SROs may
discontinue disseminating any category of Market Data, may change or eliminate any
transmission method and may change transmission speeds or other signal characteristics. The
Authorizing SROs shall not be liable for any resulting liability, loss or damages that may arise
therefrom.
7. DURATION; SURVIVAL – This Agreement remains in effect for so long as
Subscriber has the ability to receive Market Data as contemplated by this Agreement. In addition,
Vendor may terminate this Agreement at any time, whether at the direction of the Authorizing
SROs or otherwise. Paragraphs 2, 3 and 4, and the first two sentences of Paragraph 8, survive any
termination of this Agreement.
8. MISCELLANEOUS – The laws of the State of New York shall govern this
Agreement and it shall be interpreted in accordance with those laws. This Agreement is subject to
the Securities Exchange Act of 1934, the rules promulgated under that act, and the joint-industry
plans entered into pursuant to that act. This writing contains the entire agreement between the
parties in respect of its subject matter. Subscriber may not assign all or any part of this Agreement
to any other person. The person executing this Agreement below represents and warrants that he
or she has legal capacity to contract and, if that person is executing this Agreement on behalf of a
proprietorship or a business, partnership or other organization, represents and warrants that he or
she has actual authority to bind the organization.
TDA 5056 F 11/18
Last Update: March 4, 2013
ACCEPTED AND AGREED: I, the "Subscriber" to which the preceding terms
and conditions refer, acknowledge that I have read the preceding terms and conditions of this
Section 1, that I understand them and that I hereby manifest my assent to, and my agreement to
comply with, those terms and conditions by "clicking" on the following box:
SECTION 2: NONPROFESSIONAL SUBSCRIBER
9. NONPROFESSIONAL SUBSCRIBER DEFINITION -"Nonprofessional
Subscriber" means any natural person who receives market data solely for his/her personal, non-
business use and who is not a “Securities Professional.” A “Securities Professional” includes an
individual who, if working in the United States, is:
(a) registered or qualified with the Securities and Exchange Commission (the
"SEC"), the Commodities Futures Trading Commission, any state securities
agency, any securities exchange or association, or any commodities or futures
contract market or association.
(b) engaged as an "investment advisor" as that term is defined in Section 202 (a) (11)
of the Investment Advisor's Act of 1940 (whether or not registered or qualified
under that Act), or
(c) employed by a bank or other organization exempt from registration under Federal
and/or state securities laws to perform functions that would require him or her to
be so registered or qualified if he or she were to perform such functions for an
organization not so exempt.
A person who works outside of the United States will be considered a “Securities Professional” if
he or she performs the same functions as someone who would be considered a “Securities
Professional” in the United States.
Subscriber may not receive Market Data as a “Nonprofessional Subscriber” unless the vendor
providing that data to Subscriber first determines that the individual falls within Paragraph 9’s
definition of “Nonprofessional Subscriber.”
10. PERMITTED RECEIPT - Subscriber may not receive Market Data from
Vendor, and Vendor may not provide Market Data to Subscriber, on a “Nonprofessional
Subscriber” basis unless Vendor first properly determines that Subscriber qualifies as a
“Nonprofessional Subscriber” as defined in Paragraph 9 and Subscriber in fact qualifies as a
“Nonprofessional Subscriber.”
TDA 5056 F 11/18
Last Update: March 4, 2013
11. PERMITTED USE – If Subscriber is a Nonprofessional Subscriber, he or she
shall receive Market Data solely for his or her personal, non-business use.
12. PERSONAL AND EMPLOYMENT DATA – As a prerequisite to qualifying
as a "Nonprofessional Subscriber", Subscriber shall provide the following information:
Subscriber's name and address:
Subscriber's occupations (list all occupations – including homemaker, student, retiree,
etc.):
Name(s) and address(es) of Subscriber's employer(s):
Subscriber's title(s) and/or position(s):
Subscriber's employment functions (description):
In order to facilitate a decision as to whether Subscriber qualifies as a "Nonprofessional
Subscriber," Subscriber shall answer the following questions:
A. Do you use Market Data solely for your personal, non-business use?
☐Yes ☐No
B. Do you receive Market Data for your business or any other entity?
☐Yes ☐No
C. Are you currently registered or qualified with the SEC or the CFTC?
☐Yes ☐No
D. Are you currently registered or qualified with any securities agency, any securities exchange,
association or regulatory body, or any commodities or futures contract market, association or
regulatory body, in the United States or elsewhere?
☐Yes ☐No
TDA 5056 F 11/18
Last Update: March 4, 2013
E. Whether you are located within or outside of the United States, do you perform any functions
that are similar to those that require an individual to register or qualify with the SEC, the
CFTC, any other securities agency or regulatory body, any securities exchange or association,
or any commodities or futures contract market, association or regulatory body?
☐Yes ☐No
F. Are you engaged to provide investment advice to any individual or entity?
☐Yes ☐No
G. Are you engaged as an asset manager?
☐Yes ☐No
H. Do you use the capital of any other individual or entity in the conduct of your trading?
☐Yes ☐No
I. Do you conduct trading for the benefit of a corporation, partnership, or other entity?
☐Yes ☐No
J. Have you entered into any agreement to share the profit of your trading activities or receive
compensation for your trading activities?
☐Yes ☐No
K. Are you receiving office space, and equipment or other benefits in exchange for your trading
or work as a financial consultant to any person, firm or business entity?
☐Yes ☐No
Subscriber shall notify Vendor promptly in writing of any change in his or her circumstances that
may cause him or her to cease to qualify as a Nonprofessional Subscriber or that may change his
or her response to any of the preceding questions.
13. CERTIFICATION – By executing this Agreement, Subscriber hereby certifies that he
or she falls within Paragraph 9's definition of "Nonprofessional Subscriber" and that the personal
and employment information that he or she has included in Paragraph 12 is truthful and accurate.
TDA 5056 F 11/18
Last Update: March 4, 2013
ACCEPTED AND AGREED: I, the "Subscriber" to which the preceding terms
and conditions refer, acknowledge that I have read the preceding terms and conditions of this
Section 2, that I understand them and that I hereby manifest my assent to, and my agreement to
comply with, those terms and conditions by "clicking" on the following box:
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TDA5056

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Completed 21 July 2020

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