Common use of Records and Accounting Reports Clause in Contracts

Records and Accounting Reports. 68 Section 9.1. Books and Records 68 Section 9.2. Accounting 68 Section 9.3. Tax Returns 68 Section 9.4. Company Funds 68 Section 9.5. Intentionally Omitted 69 Section 9.6. Confidentiality 69 ARTICLE X DISSOLUTION AND TERMINATION 70 Section 10.1. Dissolution of Company 70 Section 10.2. Liquidation and Distribution 70 Section 10.3. Termination 70 ARTICLE XI FUNDING OF THE COMPANY 71 Section 11.1. Funding Authority 71 Section 11.2. Funding Principles 72 Section 11.3. Recovery 72 Section 11.4. Collection of Fees 78 Section 11.5. Fee Disputes 79 Section 11.6. Funding Incentives for Post-Amendment Expenses 79 ARTICLE XII MISCELLANEOUS 81 Section 12.1. Notices and Addresses 81 Section 12.2. Governing Law; Submission to Jurisdiction 81 Section 12.3. Amendments 82 Section 12.4. Successors and Assigns 82 Section 12.5. Counterparts 82 Section 12.6. Modifications to be in Writing; Waivers 82 Section 12.7. Captions 82 Section 12.8. Validity and Severability 82 Section 12.9. Third Party Beneficiaries 83 Section 12.10. Expenses 83 Section 12.11. Specific Performance 83 Section 12.12. Waiver of Partition 83 Section 12.13. Construction 83 Section 12.14. Incorporation of Exhibits, Appendices, Attachments, Recitals and Schedules 84 2. Time and Method by which CAT Data will be Available to

Records and Accounting Reports. 68 64 Section 9.1. Books and Records 68 64 Section 9.2. Accounting 68 64 Section 9.3. Tax Returns 68 65 Section 9.4. Company Funds 68 65 Section 9.5. Intentionally Omitted 69 Tax Matters Partner 65 Section 9.6. Confidentiality 69 66 ARTICLE X DISSOLUTION AND TERMINATION 70 67 Section 10.1. Dissolution of Company 70 67 Section 10.2. Liquidation and Distribution 70 67 Section 10.3. Termination 70 67 ARTICLE XI FUNDING OF THE COMPANY 71 68 Section 11.1. Funding Authority 71 68 Section 11.2. Funding Principles 72 68 Section 11.3. Recovery 72 69 Section 11.4. Collection of Fees 78 70 Section 11.5. Fee Disputes 79 Section 11.6. Funding Incentives for Post-Amendment Expenses 79 70 ARTICLE XII MISCELLANEOUS 81 70 Section 12.1. Notices and Addresses 81 70 Section 12.2. Governing Law; Submission to Jurisdiction 81 71 Section 12.3. Amendments 82 71 Section 12.4. Successors and Assigns 82 71 Section 12.5. Counterparts 82 71 Section 12.6. Modifications to be in Writing; Waivers 82 72 Section 12.7. Captions 82 72 Section 12.8. Validity and Severability 82 72 Section 12.9. Third Party Beneficiaries 83 72 Section 12.10. Expenses 83 72 Section 12.11. Specific Performance 83 72 Section 12.12. Waiver of Partition 83 73 Section 12.13. Construction 83 73 Section 12.14. Incorporation of Exhibits, Appendices, Attachments, Recitals and Schedules 84 2. Time and Method by which CAT Data will be Available to73 EXHIBIT A APPENDIX A APPENDIX B Consolidated Audit Trail National Market System Plan Request for Proposal, issued February 26, 2013, version 3.0 updated March 4, 2014 ............................................................................................................................1 [Reserved] 1 APPENDIX C DISCUSSION OF CONSIDERATIONS 1

Records and Accounting Reports. 68 64 Section 9.1. Books and Records 68 64 Section 9.2. Accounting 68 64 Section 9.3. Tax Returns 68 65 Section 9.4. Company Funds 68 65 Section 9.5. Intentionally Omitted 69 Tax Matters Partner 65 Section 9.6. Confidentiality 69 66 ARTICLE X DISSOLUTION AND TERMINATION 70 67 Section 10.1. Dissolution of Company 70 67 Section 10.2. Liquidation and Distribution 70 67 Section 10.3. Termination 70 67 ARTICLE XI FUNDING OF THE COMPANY 71 68 Section 11.1. Funding Authority 71 68 Section 11.2. Funding Principles 72 68 Section 11.3. Recovery 72 69 Section 11.4. Collection of Fees 78 70 Section 11.5. Fee Disputes 79 Section 11.6. Funding Incentives for Post-Amendment Expenses 79 70 ARTICLE XII MISCELLANEOUS 81 70 Section 12.1. Notices and Addresses 81 70 Section 12.2. Governing Law; Submission to Jurisdiction 81 71 Section 12.3. Amendments 82 71 Section 12.4. Successors and Assigns 82 71 Section 12.5. Counterparts 82 71 Section 12.6. Modifications to be in Writing; Waivers 82 72 Section 12.7. Captions 82 72 Section 12.8. Validity and Severability 82 72 Section 12.9. Third Party Beneficiaries 83 72 Section 12.10. Expenses 83 72 Section 12.11. Specific Performance 83 72 Section 12.12. Waiver of Partition 83 73 Section 12.13. Construction 83 73 Section 12.14. Incorporation of Exhibits, Appendices, Attachments, Recitals and Schedules 84 2. Time and Method by which CAT Data will be Available to73 EXHIBIT A APPENDIX A APPENDIX B Consolidated Audit Trail National Market System Plan Request for Proposal, issued February 26, 2013, version 3.0 updated March 3, 2014 ............................................................................................................................1 [Reserved] 1 APPENDIX C DISCUSSION OF CONSIDERATIONS 1

Records and Accounting Reports. 68 64 Section 9.1. Books and Records 68 64 Section 9.2. Accounting 68 64 Section 9.3. Tax Returns 68 65 Section 9.4. Company Funds 68 65 Section 9.5. Intentionally Omitted 69 Tax Matters Partner. 65 Section 9.6. Confidentiality 69 66 ARTICLE X DISSOLUTION AND TERMINATION 70 67 Section 10.1. Dissolution of Company 70 67 Section 10.2. Liquidation and Distribution 70 67 Section 10.3. Termination 70 67 ARTICLE XI FUNDING OF THE COMPANY 71 68 Section 11.1. Funding Authority 71 68 Section 11.2. Funding Principles 72 68 Section 11.3. Recovery 72 69 Section 11.4. Collection of Fees 78 70 Section 11.5. Fee Disputes 79 Section 11.6. Funding Incentives for Post-Amendment Expenses 79 70 ARTICLE XII MISCELLANEOUS 81 70 Section 12.1. Notices and Addresses 81 70 Section 12.2. Governing Law; Submission to Jurisdiction 81 71 Section 12.3. Amendments 82 71 Section 12.4. Successors and Assigns 82 71 Section 12.5. Counterparts 82 71 Section 12.6. Modifications to be in Writing; Waivers 82 72 Section 12.7. Captions 82 72 Section 12.8. Validity and Severability 82 72 Section 12.9. Third Party Beneficiaries 83 72 Section 12.10. Expenses 83 72 Section 12.11. Specific Performance 83 72 Section 12.12. Waiver of Partition 83 73 Section 12.13. Construction 83 73 Section 12.14. Incorporation of Exhibits, Appendices, Attachments, Recitals and Schedules 84 2. Time and Method by which CAT Data will be Available to73 EXHIBIT A APPENDIX A APPENDIX B Consolidated Audit Trail National Market System Plan Request for Proposal, issued February 26, 2013, version 3.0 updated March 3, 2014 ............................................................................................................................1 [Reserved] 1 APPENDIX C DISCUSSION OF CONSIDERATIONS 1