Professional Non Professional Status a) Non-Professional Status: With respect to Services involving the receipt of financial market information, unless otherwise indicated by Subscriber during the registration process, Subscriber represents and warrants to SmartCharts that he/she meets and complies with all requirements for qualification as a "Non-Professional Subscriber" (or equivalent) as currently in effect and which may be issued from time to time by NYSE, AMEX, NASDAQ and any other Data Providers that may issue Non- Professional Subscriber criteria. Subscriber further represents and warrants to SmartCharts that the following statements are true and accurate and shall continue to be true and accurate for as long as Subscriber receives Services hereunder:
(i) Subscriber makes this Agreement in his/her own individual capacity and not on the behalf of any firm, corporation, partnership, trust, association or other entity.
(ii) Subscriber shall use the Services solely in connection with his/her own individual personal investment activities and not in connection with any trade or business activities.
(iii) Subscriber is not a securities broker-dealer, investment advisor, futures commission merchant, commodities introducing broker or commodity trading advisor, registered representative of any of the foregoing, member of a securities exchange or association or futures contract market, or an owner, partner or associated person of any of the foregoing.
(iv) Subscriber is not employed or otherwise engaged by a bank, financial institution or an insurance company or an Affiliate of any of them or any other organization that performs business functions related to securities or commodity futures investment or trading activity.
b) Professional Status: Professional Subscribers must register as such as part of the subscription process. Professional Subscribers may also be required to execute hard copy contracts with the Data Providers, as required by the Data Providers from time to time.
Professional Non Professional Status
