GREEKS VAULTNYSE Non-Professional Subscriber Certification
1. Purpose
NYSE market-data products may distinguish Nonprofessional Subscribers from Professional Subscribers. The NYSE Nonprofessional Subscriber Policy requires the distributor to determine whether the individual qualifies before providing nonprofessional-rate access and states that a vendor can be responsible for retroactive professional-rate fees if a subscriber is incorrectly classified. See the NYSE policy and current vendor/subscriber agreement.
2. Nonprofessional Representation
I represent that I am a natural person and that I receive the applicable market data solely for my personal, non-business use, and that I do not meet the applicable definition of a Securities Professional. I understand that classification can depend on my registrations, employment, professional functions and the name under which the data account is maintained.
3. Questionnaire
4. Ongoing Duty to Update
I will promptly notify Greeks Vault if any response becomes inaccurate. Greeks Vault may request recertification periodically, reclassify my access, or discontinue a nonprofessional entitlement when required by an exchange, vendor or applicable law.
5. Acknowledgement
I understand that this certification does not itself create a right to receive any particular exchange product, and that access depends on the applicable data license and Greeks Vault's authorization as a distributor or vendor.
Acceptance / Signature
By signing below or by electronically accepting this document through the Greeks Vault platform, the parties acknowledge that they have read and agree to be bound by this document to the extent applicable.
| Exchange-specific certification. This form is a Greeks Vault implementation template and must be mapped to the exact NYSE product/license and the approved subscriber agreement used by Greeks Vault. |
| Question | Response (Yes/No) | Explanation / supporting detail |
| Is the subscriber a natural person? | ____ | ____________________________ |
| Is the market data used solely for personal, non-business use? | ____ | ____________________________ |
| Are you registered or qualified with the SEC, CFTC, state securities regulator, securities exchange/association, or commodities/futures market/association? | ____ | ____________________________ |
| Are you engaged as an investment adviser? | ____ | ____________________________ |
| Do you perform functions for a bank or other exempt organization that would require securities registration if performed at a non-exempt organization? | ____ | ____________________________ |
| Is the market-data account held in your personal legal name rather than an organization name? | ____ | ____________________________ |
| Are you a compensated securities or commodities professional, broker, adviser, trader, dealer, or similar regulated professional? | ____ | ____________________________ |
| Are you retired or inactive from a prior professional role that may affect your classification? | ____ | ____________________________ |
| Do you trade for others, share profits, or provide investment decisions for another person or entity? | ____ | ____________________________ |
| Company | Elysium Capital LLC D-B-A Greeks Vault |
| User / Authorized Representative | ____________________________ |
| Title (if applicable) | ____________________________ |
| Signature / Electronic Acceptance | ____________________________ |
| Date | ____________________________ |