Exhibit A to Schedule 4: Non-Professional Self-Certification Form

Based on the Subscriber’s qualifications, Subscribers may be charged reduced Fees for Information. To qualify for the reduction in Subscriber Fees, Subscriber must be considered a “Non-Professional.”

Non-Professional shall mean and include either (i) an individual, natural person Subscriber(s) who, or (ii) certain small business entities (limited liability companies, partnerships, trusts or corporations) that, receive and use Information (excluding any pit traded data), in each case subject to the following restrictions:

The Non-Professional Subscriber must:

  1. have an active futures trading account;

  2. be an individual, natural person or small business entity

    The Non-Professional Subscriber must not:

  3. be a member (or hold or lease any type membership) of any exchange;

  4. be registered or qualified as a professional trader or investment adviser with any stock, commodities or futures exchange or contract market, or with any financial regulatory authority

  5. be acting on behalf of an institution that engages in brokerage, banking, investment, or financial activities

    The Non-Professional Subscriber’s Use of Inf orm ation must:

  6. be solely for the Subscriber’s personal or private use;

  7. be limited to managing the Subscriber’s own assets, and not be used in connection with the management of any assets of any third party(ies) in any capacity

    The Non-Prof essiona l Subs criber’s Access to I nf orm ation must only

  8. be via a maximum of two trading terminals per Distributor, permissioned for Real-Time Information and capable of routing orders to the CME Globex Platform (an “Order Routing Device”).

Any Subscriber who does not meet the qualifications of a Non-Professional Subscriber will be considered a Professional Subscriber.

Notwithstanding anything herein, CME reserves the right in all cases to make a final determination as to whether a Subscriber is a Non Professional or a Professional. CME reserves the right to amend this policy or terminate reduced fees for Non-Professionals at any time.

Subscribers who qualify as Non-Professionals should sign below and return this Self-Certification form to Distributor. Please note that this form may be subject to Distributor’s review and approval. Subscriber must notify Distributor as soon as is reasonably practicable in the event that Subscriber no longer qualifies as a Non- Professional. I hereby certify that I qualify as a Non-Professional pursuant to the definition described herein:





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