 Personal and Employment Data Questionnaire
Step 1: Personal and Employment Data Questionnaire
The following information is required to evaluate your qualifications to receive market information from the New York Stock Exchange, American Stock Exchange, National Association of Security Dealers, Inc. and Options Price Reporting Authority at non-professional rates. All sections must be completed in order to be approved for non-professional rates.
Applicant’s Name: ________________________________________________________________
Social Security No: ________________________________________________________________
Telephone No: ___________________________________________________________________
Home Address: __________________________________________________________________
Applicant’s Occupation: ____________________________________________________________
Street Address where service will be installed: ________________________________________________________________
Name of applicant’s present employer: ________________________________________________________________
Employer’s Address: ________________________________________________________________
Employer’s Telephone: ________________________________________________________________
Applicant’s Title: ________________________________________________________________
Market Data Intent of Use: ________________________________________________________________
________________________________________________________________
Step 2: Investor Status—Are You a Pro or Non-Pro?
The following true/false questions will help you determine your status as a non-professional or professional investor. Don’t be put off by all the heavy legalese—it’s required by the exchanges, who are very particular about anyone looking at real-time data. Circle your response.
I am subscribing in an individual and personal capacity, and neither as a principal, officer, partner, employee or agent of any business nor on behalf of any other individual.
TRUE FALSE
I am not registered or qualified with the Securities and Exchange Commission, the Commodities
Futures Trading Commission, any state securities agency, any securities exchange association, or any commodities or futures contract market or association.
TRUE FALSE
I am not engaged as an investment advisor; as that term is defined in Section 202 (a) (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act).
TRUE FALSE
I am not employed by a bank or other organization exempt from registration under Federal or state securities laws to perform a function that would require me to be so registered or qualified if I were to perform such functions for an organization not so exempt.
TRUE FALSE
I do not plan to use the real-time date provided with this service for any commercial or business purposes.
TRUE FALSE
I attest that the above information is correct.
Signature ___________________________________
Date __________________________________
November, 2004
PCQUOTE Canada INC.
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