º» °è¾à¼·ù(¼³¸í¼ µî)´Â ±ÝÀ¶¼ÒºñÀÚº¸È£¹ý ¹× ³»ºÎÅëÁ¦±âÁØ¿¡ µû¸¥ ÀýÂ÷¸¦ °ÅÃÄ Á¦°øµË´Ï´Ù.
°í°´Àº ÇØ¿ÜÁֽİŷ¡¸¦ ÀÌ¿ëÇϱâ Àü ÇؿܽÃÀå ÇØ¿ÜÁÖ½Ä ½Ã¼¼ µ¥ÀÌÅÍ(¡°¼ºñ½º¡±)¸¦ ¹Ì·¡¿¡¼ÂÁõ±ÇÁÖ½Äȸ»ç(¡°È¸»ç¡±)·ÎºÎÅÍ Á¦°ø¹ÞÀº °Í°ú °ü·ÃÇÏ¿© ´ÙÀ½°ú °°Àº ³»¿ëÀ» È®ÀÎÇÔÀ¸·Î½á ¸í½ÃÀûÀ¸·Î µ¿ÀÇÇÑ °ÍÀ¸·Î °£ÁÖÇÏ¿À´Ï À¯ÀÇÇϽñ⠹ٶø´Ï´Ù.
- ´Ù À½ -
À¯·á ½Ç½Ã°£ ½Ã¼¼ ***Âü¿©±â°ü | ¹«·á ½Ç½Ã°£ ½Ã¼¼ ***Âü¿©±â°ü |
---|---|
Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, MIAX Pearl, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., NYSE National, Inc. | Nasdaq Stock Market LLC Nasdaq BX Nasdaq PHLX LLC Financial Industry Regulatory Authority, Inc. |
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
SECTION 2: NONPROFESSIONAL SUBSCRIBER
9. NONPROFESSIONAL SUBSCRIBER DEFINITION
- "Nonprofessional Subscriber" means any natural person whom Vendor has determined to qualify as a "Nonprofessional Subscriber" and who is not:
(a)registered or qualified with the SecuritiesandExchangeCommission (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 Section201(11) of the Investment Advisor's Act of1940(whether or not registered or qualified under that Act),nor
(c)employed by a bank or other organization exempt from registration under Federal and /or state securities law stoper form functions that would require him or her to be so registered or qualified if he or she were toper form such functions for an organization not so exempt.
10.PERMITTED USE - If Subscriber is a Non professional Subscriber, he or she shall receive Market Data solely for his or her personal, non-business use.
11.PERSONAL AND EMPLOYMENT DATA - As a prerequisite to qualifying as a"Non professional Subscriber",Subscriber shall provide the following information: Subscriber Title/Occupation: Name(s)and address(es) of Subscriber's employer(s): Company Name: Company Address: Subscriber's employment functions(description): 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.
12.CERTIFICATION- By clicking on the following box, Subscriber hereby certifies that he or she falls with in Paragraph 9's definition of "Non professional Subscriber"and that the personal and employment information that he or she has included in Paragraph 11 is truthful and accurate.
9. . ºñÀü¹®»ç¿ëÀÚÀÇ Á¤ÀÇ : ¹Ì·¡¿¡¼ÂÁõ±ÇÁÖ½Äȸ»ç°¡ "ºñÀü¹®»ç¿ëÀÚ"·Î ±ÔÁ¤ÇÏ´Â °³ÀÎÀ¸·Î½á ¾Æ·¡ÀÇ »çÇ׿¡ Æ÷ÇÔµÇÁö ¾Ê¾Æ¾ß ÇÕ´Ï´Ù. (a) Áõ±Ç°Å·¡ À§¿øȸ(the"SEC"), »óÇ°¼±¹°°Å·¡À§¿øȸ, ÁÖ¸³Áõ±Ç±â°ü, Áõ±Ç°Å·¡¼Ò³ª Áõ±ÇÇùȸ ȤÀº »óÇ°¼±¹°°Å·¡½ÃÀåÀ̳ª Çùȸ¿¡ µî·ÏµÇ°Å³ª ÀÚ°Ý ÀÖ´Â ÀÚ(íº). (b) 1940³â ÅõÀÚ°í¹®¹ý·É Á¶Ç× 201(11)¿¡ Á¤ÀÇµÈ (º» ¹ý·É ¾Æ·¡ µî·ÏµÇ¾î Àְųª ±ÇÇÑ ÀÖÀ» °æ¿ì) "ÅõÀÚ°í¹®" À¸·Î µÇ¾îÀÖ´Â ÀÚ(íº). (c) ¸éÁ¦µÇÁö ¾ÊÀº ±â°ü¿¡ ±â´ÉÀ» ¼öÇàÇÏ°í ÀÖ´Ù¸é µî·Ï ȤÀº À§ÀӵǾî¾ß ÇÏ´Â ±â´ÉÀ» ¼öÇàÇÏ´Â ¿¬¹æ ¹× /ȤÀº ÁÖ¸³Áõ±Ç¹ýÀÇ ÇÏ(ù»)¿¡ ¸éÁ¦µÈ ÀºÇà ¹× ±× ¿Ü ±â°üµé¿¡ ÀÇÇØ °í¿ëµÈ ÀÚ(íº)
10. Çã¿ë¹üÀ§ : ¸¸¾à °¡ÀÔÀÚ°¡ ¡°ºñÀü¹®»ç¿ëÀÚ¡±¶ó¸é, ½ÃÀåÁ¤º¸¸¦ °³ÀÎÀûÀÌ°í ºñ»ç¾÷Àû¿ëµµ·Î¸¸ »ç¿ëÇÏ¿©¾ß ÇÑ´Ù.
11. °³ÀÎÁ¤º¸ : "ºñÀü¹®»ç¿ëÀÚ"´Â ´ÙÀ½ÀÇ Á¤º¸¸¦ Á¦°øÇؾßÇÑ´Ù. °¡) °¡ÀÔÀÚ: ³ª) Á÷¾÷: ´Ù) °¡ÀÔÀÚÀÇ °í¿ëÁÖ ¸í ¹× ÁÖ¼Ò : ¶ó) »óÈ£: ¸¶) »ç¾÷ ¼ÒÀçÁö: ¹Ù) °¡ÀÔÀÚÀÇ Á÷¹«(±â¼ú): ¡Ø »ç¿ëÀÚ´Â ¡°ºñÀü¹®»ç¿ëÀÚ¡±·Î¼ ÀÚ°ÝÀÌ º¯µ¿µÇ´Â »çÇ×ÀÌ ¹ß»ý½Ã¿¡´Â ¼¸éÀ¸·Î ¡±¹Ì·¡¿¡¼ÂÁõ±ÇÁÖ½Äȸ»ç¡°¿¡°Ô Å뺸ÇØ¾ß ÇÕ´Ï´Ù.
12. Áõ¸í : »ó±â ³»¿ë¿¡ µ¿ÀÇÇÔ¿¡ µû¶ó, ¡°ºñÀü¹®»ç¿ëÀÚ¡±·Î¼ »ç¿ëÀÚ´Â Á¦°øÇÑ Á¤º¸ÀÇ ½ÅÀǼº ¹× Á¤È®¼ºÀ» Áõ¸íÇÕ´Ï´Ù.
À§ÀÇ »çÇ×À» È®ÀÎÇÏ¿´À¸¸ç ±×°ÍµéÀ» ÀÌÇØÇÑ °ÍÀ¸·Î µ¿ÀÇÇÕ´Ï´Ù.
¶ÇÇÑ Àü¹®°¡(Àü¹®ÅõÀÚÀÚ)·Î ºÐ·ùµÇ´Â °í°´ÀÇ °æ¿ì ±âº» Áö¿¬ ½Ã¼¼¸¦ ¹«·á·Î ÀÌ¿ëÇÏ½Ç ¼ö ÀÖÀ¸¸ç ¿øÇϽô °æ¿ì ½Ç½Ã°£ ½Ã¼¼ ºñ¿ëÀ» ³³ºÎÇÏ°í À¯·á ½Ç½Ã°£ ½Ã¼¼¸¦ ½ÅûÇÏ½Ç ¼ö ÀÖ½À´Ï´Ù.
(»óÇØ °Å·¡¼Ò ½Ç½Ã°£ ½Ã¼¼ ½Åû ¹× Àû¿ë ±¸ºÐÇ¥)
±¸ºÐ | °³ÀÎ | ¹ýÀÎ/Á÷¿ø | ||
---|---|---|---|---|
¼³¹®Àü | ¼³¹®ÈÄ ºñÀü¹®°¡ | ¼³¹® ÈÄ Àü¹®°¡ | ||
15ºÐ Áö¿¬ ½Ã¼¼ | O | X | O | |
¹«·á½Ç½Ã°£ ½Ã¼¼ | X | O | X | |
À¯·á½Ç½Ã°£ ½Ã¼¼ | X | X | O (½Åû ÇÊ¿ä) |
¡Ø ÇØ´ç Ç¥ Áß ¡®X¡¯·Î Ç¥±â µÈ °æ¿ì Á¦°ø ºÒ°¡ ¶Ç´Â ½Åû ºÒ°¡¸¦ ÀǹÌ
(½Éõ °Å·¡¼Ò ½Ç½Ã°£ ½Ã¼¼ ½Åû ¹× Àû¿ë ±¸ºÐÇ¥)
±¸ºÐ | ½Åû ¹× Á¦°ø¿©ºÎ | Á¦°ø µ¥ÀÌÅÍ | |
---|---|---|---|
15ºÐ Áö¿¬ ½Ã¼¼ | X | 15ºÐ Áö¿¬ ½Ã/°í/Àú/Á¾°¡/ÇöÀç°¡, ¸Å¼ö/¸Åµµ ¡¾5È£°¡, °Å·¡·® ¹× °Å·¡´ë±Ý |
|
¹«·á½Ç½Ã°£ ½Ã¼¼ | O (±âº» Á¦°ø) | ½Ç½Ã°£ ½Ã/°í/Àú/Á¾°¡/ÇöÀç°¡, ÃÖ¿ì¼± ¸Å¼ö/¸Åµµ È£°¡, °Å·¡·® ¹× °Å·¡´ë±Ý |
|
À¯·á½Ç½Ã°£ ½Ã¼¼ | O (½Åû ÇÊ¿ä) | ½Ç½Ã°£ ½Ã/°í/Àú/Á¾°¡/ÇöÀç°¡, ¸Å¼ö/¸Åµµ ¡¾5È£°¡, °Å·¡·® ¹× °Å·¡´ë±Ý |
¡Ø ½Éõ °Å·¡¼ÒÀÇ °æ¿ì °³ÀÎ(ºñÀü¹®°¡, Àü¹®°¡) / ¹ýÀÎ / Á÷¿ø ¸ðµÎ ¹«·á ½Ç½Ã°£ ½Ã¼¼ ±âº» Àû¿ë
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
1. ºñÀü¹®°¡ °í°´ Á¤ÀÇ-¡°ºñÀü¹®°¡ °í°´¡±Àº º¥´õ°¡ ÆÇ´ÜÇϱ⿡ ¡°ºñÀü¹®°¡ °í°´¡± ¿ä°ÇÀ» °®Ãß¾ú´Ù°í ÆÇ´ÜÇÑ »ç¶÷ÀÌ¸ç ¾Æ·¡ ¿ä°ÇÀ» ¸ðµÎ ¸¸Á·ÇØ¾ß ÇÕ´Ï´Ù.
(a) °³ÀÎ »ç¿ëÀÚ
(b) ±ÝÀ¶¼ºñ½º ±â°üÀ» ¿î¿ëÇÏÁö ¾ÊÀ½
(c) ÇØ´çµ¥ÀÌÅ͸¦ ÀÚ½ÅÀÇ ÀÚ»ê ¿î¿ë°ú °°Àº °³ÀÎÀûÀÎ ¸ñÀûÀ¸·Î¸¸ »ç¿ë
(d) ÇØ´çµ¥ÀÌÅ͸¦ ÀÚ½ÅÀÇ ÀÚ»ê¿î¿ë°ú °°Àº °³ÀÎÀûÀÎ ¸ñÀûÀ¸·Î¸¸ »ç¿ë
(e) ÇØ´ç µ¥ÀÌÅ͸¦ ¾î¶°ÇÑ ÇüÅ·εµ Á¦ 3ÀÚ¸¦ À§Çؼ »ç¿ëÇÏÁö ¾ÊÀ½
(f) ÇØ´ç µ¥ÀÌÅ͸¦ ±â°ü ÅõÀÚÀÚ¸¦ Æ÷ÇÔÇÏ¿© Á¦ 3ÀÚ¿¡°Ô Á¦°øÇÏÁö ¾ÊÀ½
2. ¸¶ÄÏ µ¥ÀÌÅÍ »ç¿ë Çã°¡ ¹üÀ§- °í°´ÀÌ ºñÀü¹®°¡ °í°´À¸·Î ºÐ·ùµÇ¾ú´Ù¸é, ±× °í°´Àº ¸¶ÄÏ µ¥ÀÌÅ͸¦ ¿ÀÁ÷ °³ÀÎÀÇ ºñ¿µ¸® ¸ñÀûÀ¸·Î »ç¿ëÇÕ´Ï´Ù
3. °í°´ÀÇ °³ÀÎ ¹× °í¿ë Á¤º¸- ¡°ºñÀü¹®°¡ °í°´¡±ÀÇ Á¶°ÇÀ» ¸¸Á· ½ÃÅ°±â À§ÇÑ ÀüÁ¦ Á¶°ÇÀÇ Çϳª·Î °í°´Àº ´ÙÀ½°ú °°Àº Á¤º¸¸¦ Á¦°øÇÏ°í ±× ¾Æ·¡ÀÇ ºñÀü¹®°¡ °í°´ÀÚ°Ý ¿ä°Ç Áú¹®¿¡ ´äÇØ¾ß ÇÕ´Ï´Ù.
* Àü¹®°¡ °í°´ ºÐ·ù
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡à ¿¹ ¡à¡î ¾Æ´Ï¿À
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
<Deutsche Boerse Private Individuals>
A. The subscriber is a natural person.
B. the subscriber does not operate a credit institution or financial services institution.
C. the subscriber will use the information exclusively for his/her private purpose, such as, in particular, the management of his/her own private assets.
D. the subscriber will not use the information for business purposes, such as commercial securities trading or the professional management of third-party assets, or for his/her activities with a credit institution, a financial services institution or any other company which is subject to any domestic or foreign banking, stock exchange, securities trading or investment supervision.
E. the Subscriber will also not use the information in any other manner for the purposes of third parties, such as, for instance, the non-professional management of third-party assets or within the framework of a non-commercial investment club.
F. the Subscriber will not distribute the information onward to third parties and will not make the information available to third parties, in particular such third parties which do not qualify as Private Individuals.
¡à¡î µ¿ÀÇ ¡à ºñµ¿ÀÇ
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
<London Stock Exchange Private Investor Criteria>
A. The customer subscribes (i.e. registers and pays) in a personal capacity.
B. The customer is not currently registered or qualified as a professional securities trader or investment adviser with any national or state exchange, regulatory authority, professional association or recognized professional body.
C. The customer does not currently act in any capacity as an investment adviser, whether or not they have at some time been qualified to do so.
D. The customer uses the service solely in relation to the management of their personal funds and not as a trader to the public or for the investment of corporate funds.
E. The customer does not redistribute, republish or otherwise provide any data from the service to any third party in any manner or use or process Data for any commercial purpose.
F. The Data Charge is designed to cover individuals and will be maintained in the customer¡¯s name and not in the company name.
¡à¡î µ¿ÀÇ ¡à ºñµ¿ÀÇ
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
<Non-professional Application Agreement for Receipt of Canadian Exchange Group Market Data>
"Non-Professional" shall mean a natural person who is not a securities professional and who is acting in his/her personal capacity and not as a principal, officer, partner, employee not agent of any business nor on behalf of any individual.
A Non-Professional cannot be registered of qualified with:
- A provincial Securities Commission;
- Securities Exchange Commission
- Commodities Futures Trading Commission;
- Any provincial, state or other government securities agency;
- Any securities exchange or association;
- Any commodities or futures contract market or association or other entity that performs functions that are equivalent to those of such Persons.
¡à¡î µ¿ÀÇ ¡à ºñµ¿ÀÇ
¡Ø ¾Æ·¡ÀÇ ³»¿ëÀº °Å·¡¼ÒÀÇ ¿ø¹®ÀÔ´Ï´Ù.
<Tokyo Stock Exchange Personal Usage>
A. Name of contractor of Service Agreement is an individual or quasi-individual corporation which satisfies all of the following (Applicability of Personal Usage for organizations other than joint stock company (Kabushiki Kaisha) and membership company (Mochibun Kaisha) will be determined by their capital size and their purpose of operation)
Business purpose is determined by the presence of provision of the Articles of Incorporation (Registry) regardless of whether the business is actually carried on
B. Usage of Information is limited to personal purpose of Client such as asset management of his/her own and never used for business purpose.
¡á ÀϺ» ÁֽĽü¼ °³Àλç¿ëÀÚ(Personal Usage)»ç¿ë È®ÀÎ
A. º» ¼ºñ½º ÀÌ¿ëÀÚ´Â °³ÀÎ ¶Ç´Â °³Àΰú ÁØÇÏ´Â ±â¾÷À¸·Î ¾Æ·¡ ¿ä°ÇµéÀ» ÃæÁ·ÇØ¾ß ÇÕ´Ï´Ù.
(ÇÕÀÚȸ»ç ¹× ȸ¿ø»ç ÀÌ¿ÜÀÇ Á¶Á÷¿¡ ´ëÇÑ °³ÀÎ »ç¿ë Àû¿ë¿©ºÎ´Â ±â¾÷ÀÇ ÀÚº»±Ô¸ð¿Í ¼ºñ½º ÀÌ¿ë¸ñÀû¿¡ µû¶ó °áÁ¤µË´Ï´Ù)
º» °è¾à¿¡¼ »ó¾÷Àû ¸ñÀûÀ̶ó ÆǴܵǴ ±âÁØÀº Á¤°ü¿¡ ±âÀçµÇ¾î ÀÖ´Â ±ÔÁ¤¿¡ µû¶ó °áÁ¤µË´Ï´Ù.
B. º» ¼ºñ½º´Â °³Àο뵵(°³ÀÎÀÇ ÀÚ»ê°ü¸® µî)·Î¸¸ »ç¿ëµÇ¾î¾ß ÇÏ¸ç »ó¾÷ ¸ñÀûÀ¸·Î »ç¿ëµÉ ¼ö ¾ø½À´Ï´Ù.
¡à¡î µ¿ÀÇ ¡à ºñµ¿ÀÇ
±¸ºÐ | ½Åû ¹× Á¦°ø¿©ºÎ | Á¦°ø µ¥ÀÌÅÍ |
---|---|---|
¹«·á ½Ç½Ã°£ ½Ã¼¼ | O(±âº» Á¦°ø) | ½Ç½Ã°£ ½Ã/°í/Àú/Á¾°¡/ÇöÀç°¡, ÃÖ¿ì¼± ¸Å¼ö/¸Åµµ È£°¡, °Å·¡·® ¹× °Å·¡´ë±Ý |
À¯·á ½Ç½Ã°£ ½Ã¼¼ | O(½Åû ÇÊ¿ä) | ½Ç½Ã°£ ½Ã/°í/Àú/Á¾°¡/ÇöÀç°¡, ¸Å¼ö/¸Åµµ ¡¾10È£°¡, °Å·¡·® ¹× °Å·¡´ë±Ý |