Common use of Information Disclosure Clause in Contracts

Information Disclosure. You acknowledge that you have received a copy of the M1 Finance Privacy Policy (“Privacy Policy”) brochure, which describes our general policies regarding the use and sharing of information, and the personal information provided to us in connection with the opening of an Account. We may use and share information about you, and you may “opt out” of certain types of information sharing, in accordance with those policies. You authorize us to obtain consumer credit and other reports from any consumer reporting agency to obtain information necessary to open your Account or for any other purpose for so long as your Account is open, or any amount is owed to us. Even if you opt out of information sharing with third parties for marketing purposes as described in the Privacy Policy brochure, and unless you separately object in writing, we may release your name, address, and security positions to the companies that issued such securities, if requested by those companies. Further, if you do opt out, we may choose to close your Account and terminate our relationship. We are required to make a reasonable determination and verification of your Account profile. Until such verification is complete, we may not be able to service and maintain your Account. By signing this Agreement, you consent to our obtaining background and/or credit reports necessary to comply with any federal or state statutes or industry regulations. We may request credit-reporting agencies for consumer reports of your credit history. Upon request, we will inform you whether we have obtained any credit reports and, if we have, we will inform you of the name and address of the credit- reporting agency. If you fail to fulfill the terms of your credit obligations, we may submit a negative credit report to a credit-reporting agency. Under the Fair Credit Reporting Act (the Federal law embodied in 15 U.S.C. § 1681 et seq.), you have the right to notify us if you believe we have reported inaccurate information about you or your Account to any consumer-reporting agency. Send your notice in writing by email to xxxxxxx@x0xxxxxxx.xxx. Include your complete name, current address, telephone number, account number, type of account, specific item or dispute, and the reason why you believe the information reported is in error. You understand that if you are associated with another member or member organization, we may notify your employer in writing of your intention to open and/or maintain an account. We will electronically transmit duplicate copies of confirmations and statements or other similar information with respect to the Account, to your employing member as required by regulation.

Information Disclosure. You acknowledge 71.1 Neither Party shall divulge any information about the other Party's business, investments, finances, or other confidential matters that it may come into possession of in the course of its duties or otherwise, and each Party must use all reasonable efforts to prevent such disclosure. This does not apply, however, if a Party is required to do so by law, or by a legislative or supervising body, or by another Person who is entitled to demand disclosure under the law, or in order for the Party to adequately fulfill its duties under these Terms. 71.2 By accepting these Terms and Conditions, you have received a copy authorize us to share any information about you that may be needed by any Applicable Laws, Rules and/or Regulations or regulatory authority, including any applicable Market Rules, without providing you with prior notice. 71.3 By accepting these Terms and Conditions, you authorize us to share your personal information with any duly licensed financial entity, any of our Associates for the M1 Finance Privacy Policy (“Privacy Policy”) brochurepurpose of providing trade recommendations, which describes trading activities, sales and marketing information, including new products and services, and any third party agency working on our general policies regarding behalf for the purpose of performing client analysis for the use of our sales and sharing of informationmarketing (s). 71.4 The Company, its Associates, and service providers may collect, store, and process information obtained from the personal information provided to us Client or otherwise in connection with the opening of an Account. We may use Agreement and share information about you, and you may “opt out” of certain types of information sharing, the Transactions in accordance with those policies. You authorize us to obtain consumer credit and other reports from any consumer reporting agency to obtain information necessary to open your Account or for any other purpose for so long as your Account is open, or any amount is owed to us. Even if you opt out of information sharing with third parties for marketing purposes as described in the Privacy Policy brochure, and unless you separately object in writing, we may release your name, address, and security positions to the companies that issued such securities, if requested by those companies. Further, if you do opt out, we may choose to close your Account and terminate our relationship. We are required to make a reasonable determination and verification of your Account profile. Until such verification is complete, we may not be able to service and maintain your Account. By signing this Agreement, you consent to our obtaining background and/or credit reports necessary order to comply with any federal FATCA or state statutes other Applicable Laws, Rules, and/or Regulations, including disclosures between themselves and to governmental authorities. The Client acknowledges that this may include transfers of information to jurisdictions outside or industry regulationsinside the EEA that do not have strict data protection, data privacy, or banking secrecy laws. We may request credit-reporting agencies for consumer reports of your credit history. Upon request, we will inform you whether we have obtained any credit reports and, if we have, we will inform you of the name and address of the credit- reporting agency. If you fail to fulfill the terms of your credit obligations, we may submit a negative credit report to a credit-reporting agency. Under the Fair Credit Reporting Act (the Federal law embodied in 15 U.S.C. § 1681 et seq.), you have the right to notify us if you believe we have reported inaccurate Before it or anyone acting on its behalf discloses information about you a third party to the Company, its Associates, its or your Account their agents or service providers in connection with these Terms and Conditions or any Transactions, the Client shall ensure that said third party has been given such information and has given such consents or waivers as are necessary to any consumer-reporting agency. Send your notice in writing by email allow the Company, its Associates, its or their agents and service providers to xxxxxxx@x0xxxxxxx.xxx. Include your complete namecollect, current address, telephone number, account number, type of account, specific item or disputestore, and use such information. 71.5 Without limiting any other provision of these Terms and Conditions, the reason why you believe the information reported is in error. You understand that if you are associated with another member or member organization, we may notify your employer in writing of your intention to open and/or maintain an account. We will electronically transmit duplicate copies of confirmations and statements or other similar information with respect Client consents to the AccountCompany, its Associates, and service providers disclosing any information or data in connection with or relating to your employing member as required by regulationthe Client, the Agreement, and/or any Transaction (including, without limitation, pricing data): a. to the extent that the Company determines it is required, permitted, or desirable to comply with Applicable Law.

Information Disclosure. You acknowledge that you have received a copy of the M1 Finance Privacy Policy (“Privacy Policy”) brochure, which describes our general policies regarding the use and sharing of information, and the personal information provided to us in connection with the opening of an Account. We may use and share information about you, and you may “opt out” of certain types of information sharing, in accordance with those policies. You authorize us to obtain consumer credit and other reports from any consumer reporting agency to obtain information necessary to open your Account or for any other purpose for so long as your Account is open, or any amount is owed to us. Even if you opt out of information sharing with third parties for marketing purposes as described in the Privacy Policy brochure, and unless you separately object in writing, we may release your name, address, and security positions to the companies that issued such securities, if requested by those companies. Further, if you do opt out, we may choose to close your Account and terminate our relationship. We are required to make a reasonable determination and verification of your Account profile. Until such verification is complete, we may not be able to service and maintain your Account. By signing this Agreement, you consent to our obtaining background and/or credit reports necessary to comply with any federal or state statutes or industry regulations. We may request credit-reporting agencies for consumer reports of your credit history. Upon request, we will inform you whether we have obtained any credit reports and, if we have, we will inform you of the name and address of the credit- reporting agency. If you fail to fulfill the terms of your credit obligations, we may submit a negative credit report to a credit-reporting agency. Under the Fair Credit Reporting Act (the Federal law embodied in 15 U.S.C. § 1681 et seq.), you have the right to notify us if you believe we have reported inaccurate information about you or your Account to any consumer-reporting agency. Send your notice in writing by email to xxxxxxx@x0xxxxxxx.xxxxxxx@x0.xxx. Include your complete name, current address, telephone number, account number, type of account, specific item or dispute, and the reason why you believe the information reported is in error. You understand that if you are associated with another member or member organization, we may notify your employer in writing of your intention to open and/or maintain an account. We will electronically transmit duplicate copies of confirmations and statements or other similar information with respect to the Account, to your employing member as required by regulation.. Form - July 2023 ACCOUNT AGREEMENT | Page 3 of 20

Information Disclosure. You acknowledge that you have received a copy of the M1 Finance Privacy Policy (“Privacy Policy”) brochure, which describes our general policies regarding the use and sharing of information, and the personal information provided to us in connection with the opening of an Account. We may use and share information about you, and you may “opt out” of certain types of information sharing, in accordance with those policies. You authorize us to obtain consumer credit and other reports from any consumer reporting agency to obtain information necessary to open your Account or for any other purpose for so long as your Account is open, or any amount is owed to us. Even if you opt out of information sharing with third parties for marketing purposes as described in the Privacy Policy brochure, and unless you separately object in writing, we may release your name, address, and security positions to the companies that issued such securities, if requested by those companies. Further, if you do opt out, we may choose to close your Account and terminate our relationship. We are required to make a reasonable determination reasonabledetermination and verification of your Account profile. Until such verification is complete, we may not be able to service and maintain your Account. By signing this Agreement, you consent to our obtaining background and/or credit reports necessary to comply with any federal or state statutes or industry regulations. We may request credit-reporting agencies for consumer reports of your credit historycredithistory. Upon request, we will inform you whether we have obtained any credit reports and, if we have, we will inform you of the name and address of the credit- reporting agency. If you fail to fulfill the terms of your credit obligations, we may submit a negative credit report to a credit-reporting agency. Under the Fair Credit Reporting Act (the Federal law embodied in 15 U.S.C. § 1681 et seq.), you have the right to notify us if you believe we have reported inaccurate information about you or your Account to any consumer-reporting agency. Send your notice in writing by email to xxxxxxx@x0xxxxxxx.xxx. Include your complete name, current address, telephone number, account number, type of account, specific item or dispute, and the reason why you believe the information reported is in error. You understand that if you are associated with another member or member organization, we may notify your employer in writing of your intention to open and/or maintain an account. We will electronically transmit duplicate copies of confirmations and statements or other similar information with respect to the Account, to your employing member as required by regulation.