Exchange Agreements Exchange Agreements

For reference, below is a list of Exchange Agreements which you may have previously agreed to.

Non-Professional Definition

New York Stock Exchange & American Stock Exchange Non-Professional Agreement
NASDAQ OMX Global Subscriber Agreement
Options Price Reporting Authority Agreement
Before reviewing the agreements, please let us know if you are a professional or a non-professional (as defined by the exchanges).

Please read the definition of a non-professional and select the appropriate button below.

Non-Professional Definition:
A non-professional refers to a natural person, who is applying/acting in a personal capacity, as neither a principal, officer, partner, employee, nor agent of any business, nor on behalf of any individual. A non-professional is a person who obtains information for their own investment purposes and not for any business purposes.

The person cannot be registered or qualified with*: The Securities Exchange Commission (SEC) in any capacity; The Commodities Futures Trading Commission; Any state securities agency; Any securities exchange or association; Any commodities or futures contract market or association.
* Or foreign organizational equivalents.

Furthermore, a non-professional person can be neither (a) an investment professional (as that term is defined in Section 201(II) of the Investment Advisors Act of 1940, whether or not registered or qualified under that Act); (b) a person employed by a bank, or other organization exempt from registration under federal and/or state securities laws, to perform functions that would require registration or qualification if such functions were performed for an organization not so exempt; or (c) a person engaged as a consultant, independent contractor, software developer, or other person that uses market information for any purpose for profit other than the trading of that person's own personal account(s).

If you are a non-professional as defined above, please answer "I am NOT a Professional". If you are not a non-professional as defined above, you should answer "I Am a Professional". Please note that if for any reason your status as a non-professional changes, you are required to notify us. You may access this agreement online and make changes to your responses at any time should your circumstances change.