Common use of REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS Clause in Contracts

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq comply with the UTP Plan Requirements; (iv) Nasdaq has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; and (vi) Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan Requirements. Accordingly, Subscriber agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq NASDAQ have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq NASDAQ comply with the UTP Plan NASDAQ Requirements; (iv) Nasdaq NASDAQ has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; and (vi) Nasdaq NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan NASDAQ Requirements. Accordingly, Subscriber agrees that NasdaqNASDAQ, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq NASDAQ shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq NASDAQ to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber acknowledges that, in Europe, NASDAQ is a member obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Requirements. NASDAQ when required to do so in fulfillment of a Nasdaq marketthe its statutory obligations, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit may, temporarily or reduce in any way Subscriber’s obligations and responsibilities as a member permanently, unilaterally condition, modify or terminate the right of any and all individuals or entities to receive or use the Information. NASDAQ shall notify the Subscriber of any such condition, modification or termination, and the Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ to be necessary, consistent with its statutory obligations. If the Subscriber receives such notice, it will have available to it all procedural protections provided to it by statute and any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirementsregulatory rules.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq NASDAQ have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iiimisleading;(iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq NASDAQ comply with the UTP Plan NASDAQ Requirements; (iv) Nasdaq NASDAQ has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; and (vi) Nasdaq NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan NASDAQ Requirements. Accordingly, Subscriber agrees that NasdaqNASDAQ, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq NASDAQ shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq NASDAQ to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. 2. ТРЕБОВАНИЯ САМОУПРАВЛЯЕМОЙ ОРГАНИЗАЦИИ; ДЕЙСТВИЯ, КОТОРЫЕ НЕОБХОДИМО ПРЕДПРИНЯТЬ ПРИ ВЫПОЛНЕНИИ ЮРИДИЧЕСКИХ ОБЯЗАТЕЛЬСТВ. а) Xxxxxxx признает, что в Соединенных Штатах Америки: (i) несколько Рынков НАСДАК зарегистрированы в SEC в качестве всеамериканской фондовой биржи в соответствии с разделом 6 Закона, а Агентство по регулированию деятельности финансовых институтов зарегистрировано в SEC в качестве национальной ассоциации ценных бумаг в соответствии с разделом 15A Закона; (ii) Агентство по регулированию деятельности финансовых институтов и НАСДАК имеют юридическое обязательство защищать инвесторов и общественные интересы и обеспечивать, чтобы информация о котировках, предоставляемая инвесторам и общественности, была достоверной и полной, а не ущемляющей, фиктивной или вводящей в заблуждение;(iii) раздел 19(g)(1) Закона предусматривает, что Агентство по регулированию деятельности финансовых институтов и НАСДАК соблюдают Требования НАСДАК; (IV) НАСДАК обладает юрисдикцией для обеспечения соблюдения некоторых Требований НАСДАК ; (V) Агентство по регулированию деятельности финансовых институтов обладает юрисдикцией для обеспечения соблюдения некоторых Требований НАСДАК; и (VI) НАСДАК обязуется предлагать условия, которые не являются необоснованно дискриминационными между Абонентами, с учетом применимых Требований НАСДАК. Соответственно, Xxxxxxx соглашается с тем, что НАСДАК, когда это требуется для выполнения своих юридических обязательств, может временно или постоянно в одностороннем порядке регулировать, изменять или прекращать право любого или всех физических или юридических лиц на получение или использование Информации. НАСДАК должен предпринимать разумные усилия, чтобы уведомить Xxxxxxxx о любом таком регулировании, изменении или прекращении, а Xxxxxxx должен незамедлительно выполнить любое такое уведомление в течение такого периода времени, который может быть добросовестно определен НАСДАК как необходимый, в соответствии с его юридическими обязательствами. Xxxxx Xxxx, получившее такое уведомление, должно иметь в своем распоряжении такие процессуальные средства защиты, которые предусмотрены законом и применимыми к нему правилами. (b) Subscriber acknowledges that, in Europe, NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Requirements. NASDAQ when required to do so in fulfillment of the its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any and all individuals or entities to receive or use the Information. NASDAQ shall notify the Subscriber of any such condition, modification or termination, and the Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ to be necessary, consistent with its statutory obligations. If the Subscriber receives such notice, it will have available to it all procedural protections provided to it by statute and any applicable regulatory rules. (b) Xxxxxxx признает, что в Европе НАСДАК обязан предлагать условия, которые не являются необоснованно дискриминационными между Абонентом, при условии соблюдения применимых Требований НАСДАК. НАСДАК, когда это требуется для выполнения своих юридических обязательств, может временно или постоянно в одностороннем порядке регулировать, изменять или прекращать право любого или всех физических или юридических лиц на получение и использование Информации. НАСДАК должен уведомить Xxxxxxxx о любом таком регулировании, изменении или прекращении, а Xxxxxxx должен незамедлительно выполнить любое такое уведомление в течение такого периода времени, который может быть добросовестно определен НАСДАК как необходимый, в соответствии с его юридическими обязательствами. Если Xxxxxxx получает такое уведомление, он будет иметь в своем распоряжении все процессуальные средства защиты, предусмотренные для него законом и любыми применимыми нормативными правилами. (c) If Subscriber is a member of a Nasdaq marketNASDAQ Market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq marketNASDAQ Market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq NASDAQ to enforce compliance with, or impose sanctions for violations of, the UTP Plan NASDAQ Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market NASDAQ Market in accordance with the UTP Plan NASDAQ Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. Extranet acknowledges that (a) Subscriber acknowledges that in the United States: (i) Nasdaq Exchange is registered with the SEC Securities and Exchange Commission (the “SEC”) as a registered national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Actexchange; (iib) FINRA and Nasdaq have the Exchange has a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iiic) Section 19(g)(1) of the Securities Exchange Act of 1934, as amended (the “Act”) mandates that FINRA and Nasdaq the Exchange, as a self-regulatory organization, comply with the UTP Plan Exchange Requirements; (ivd) Nasdaq the Exchange has jurisdiction over its members to enforce compliance with certain of the UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan Exchange Requirements; and (vie) Nasdaq the Exchange is obligated to offer terms that are not unreasonably discriminatory between SubscribersExtranets, subject to applicable UTP Plan Exchange Requirements. Accordingly, Subscriber Extranet agrees that Nasdaqthe Exchange, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq The Exchange shall undertake reasonable efforts to notify Subscriber Extranet of any such condition, modification or termination, and Subscriber Extranet shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq the Exchange to be necessary, consistent with its statutory obligations. Any Person person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) . If Subscriber Extranet is a member Member of a Nasdaq marketthe Exchange, then Subscriber Extranet expressly acknowledges and agrees that (ix) this Agreement does not limit or reduce in any way Subscriber’s Extranet's obligations and responsibilities as a member of any applicable Nasdaq marketthe Exchange; (iiy) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq the Exchange to enforce compliance with, or impose sanctions for violations of, the UTP Plan Exchange Requirements; and (iiiz) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of SubscriberExtranet's Exchange membership in a Nasdaq market in accordance with the UTP Plan Exchange Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq NASDAQ have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq NASDAQ comply with the UTP Plan NASDAQ Requirements; (iv) Nasdaq NASDAQ has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ Requirements; and (vi) Nasdaq NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan NASDAQ Requirements. Accordingly, Subscriber agrees that NasdaqNASDAQ, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq NASDAQ shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq NASDAQ to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) Subscriber acknowledges that, in Europe, NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Requirements. NASDAQ when required to do so in fulfillment of the its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any and all individuals or entities to receive or use the Information. NASDAQ shall notify the Subscriber of any such condition, modification or termination, and the Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ to be necessary, consistent with its statutory obligations. If the Subscriber receives such notice, it will have available to it all procedural protections provided to it by statute and any applicable regulatory rules. (c) If Subscriber is a member of a Nasdaq marketNASDAQ Market, then Subscriber expressly acknowledges and agrees that that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq marketNASDAQ Market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq NASDAQ to enforce compliance with, or impose sanctions for violations of, the UTP Plan NASDAQ Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market NASDAQ Market in accordance with the UTP Plan NASDAQ Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq comply with the UTP Plan Nasdaq Requirements; (iv) Nasdaq has jurisdiction to enforce compliance with certain of the UTP Plan Nasdaq Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan Nasdaq Requirements; and (vi) Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan Nasdaq Requirements. Accordingly, Subscriber agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. . (bbc) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Nasdaq Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.and

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United Statesacknowledges: (i) Nasdaq is registered with that the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA NASD is registered with the SEC as a national securities association pursuant to Section 15A of the Act; (ii) FINRA that the NASD and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) that Nasdaq may in the future be registered with the SEC as a national securities exchange pursuant to Section 6 of the Act (“Exchange Registration”); (iv) that Section 19(g)(1) of the Act mandates that FINRA NASD and Nasdaq comply with the UTP Plan Requirements; (iv) Nasdaq has Requirements and that in the event of Exchange Registration, Nasdaq will have jurisdiction over members of the exchange operated by Nasdaq to enforce compliance with certain of the UTP Plan Nasdaq Requirements; (v) FINRA that NASD has jurisdiction over its members to enforce compliance with certain of the UTP Plan Nasdaq Requirements; and (vi) that Nasdaq is registered with the SEC as a registered securities information processor pursuant to Section 11A of the Act and is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan Nasdaq Requirements. Accordingly, . (b) Subscriber agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, may -- temporarily or permanently, permanently -- unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the InformationService. Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person individual or entity that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber Distributor acknowledges that in the United States: (i) several of the Nasdaq is Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq comply with the UTP Plan Nasdaq Requirements; (iv) Nasdaq has jurisdiction to enforce compliance with certain of the UTP Plan Nasdaq Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan Nasdaq Requirements; and (vi) Nasdaq is obligated to offer terms that are not unreasonably discriminatory between SubscribersDistributors, subject to applicable UTP Plan Nasdaq Requirements. Accordingly, Subscriber Distributor agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq shall undertake reasonable efforts to notify Subscriber Distributor of any such condition, modification or termination, and Subscriber Distributor shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) Distributor acknowledges that, in Europe, Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Distributors, subject to applicable Nasdaq Requirements. Nasdaq when required to do so in fulfillment of the its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any and all individuals or entities to receive or use the Information. NASDAQ shall notify the Distributor of any such condition, modification or termination, and the Distributor shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. If Subscriber the Distributor receives such notice, it will have available to it all procedural protections provided to it by statute and any applicable regulatory rules. (c) If Distributor is a member of a Nasdaq marketMarket, then Subscriber Distributor expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way SubscriberDistributor’s obligations and responsibilities as a member of any applicable Nasdaq marketMarket; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Nasdaq Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of SubscriberDistributor's membership in a Nasdaq market Market in accordance with the UTP Plan Nasdaq Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA FlNRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA FlNRA and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA FlNRA and Nasdaq comply with the UTP Plan Requirements; (iv) Nasdaq has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; (v) FINRA FlNRA has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; and (vi) Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan Requirements. Accordingly, Subscriber agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Informationlnformation. Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If lf Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is several of the NASDAQ OMX Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq NASDAQ OMX have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq NASDAQ OMX comply with the UTP Plan NASDAQ OMX Requirements; (iv) Nasdaq NASDAQ OMX has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ OMX Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ OMX Requirements; and (vi) Nasdaq NASDAQ OMX is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan NASDAQ OMX Requirements. Accordingly, Subscriber agrees that NasdaqNASDAQ OMX, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq NASDAQ OMX shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq NASDAQ OMX to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber acknowledges that, in Europe, NASDAQ OMX is a member obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ OMX Requirements. NASDAQ OMX when required to do so in fulfillment of a Nasdaq marketthe its statutory obligations, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit may, temporarily or reduce in any way Subscriber’s obligations and responsibilities as a member permanently, unilaterally condition, modify or terminate the right of any and all individuals or entities to receive or use the Information. NASDAQ OMX shall notify the Subscriber of any such condition, modification or termination, and the Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ OMX to be necessary, consistent with its statutory obligations. If the Subscriber receives such notice, it will have available to it all procedural protections provided to it by statute and any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirementsregulatory rules.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is several of the NASDAQ OMX Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq NASDAQ OMX have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; ; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq NASDAQ OMX comply with the UTP Plan NASDAQ OMX Requirements; (iv) Nasdaq NASDAQ OMX has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ OMX Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan NASDAQ OMX Requirements; and (vi) Nasdaq NASDAQ OMX is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan NASDAQ OMX Requirements. Accordingly, Subscriber agrees that NasdaqNASDAQ OMX, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq NASDAQ OMX shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by Nasdaq NASDAQ OMX to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and Nasdaq comply with the UTP Plan Requirements; (iv) Nasdaq has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the UTP Plan Requirements; and (vi) Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable UTP Plan Requirements. Accordingly, Subscriber agrees that Nasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good UTP Plan Subscriber Agreement 2019-1 5 faith by Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. (b) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the UTP Plan Requirements; and (iii) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Subscriber's membership in a Nasdaq market in accordance with the UTP Plan Requirements.