Download Non-Display Declaration Form

OTC Markets Annual Non-Display Usage Declaration
Customer Name Click or tap here to enter text. (“Customer”)
Reporting Period Click or tap here to enter text.
As noted in Section 6.b of the Market Data Distribution Agreement, market data recipients are required to
declare all Real Time Non-Display usage annually by January 31 of the current year.
OTC Markets Non-Display Usage is broken down into three (3) categories:
Category 1—Non-Display Trading Platform Usage (OTC Link Participant). Applies to Non-Display Usage by a
Distributor or Recipient who is an OTC Link participant when the Distributor or Recipient uses the
Information in an Electronic Trading System, whether the system trades on the Distributor’s or Recipient’s
own behalf or on behalf of its customers. An “Electronic Trading System” includes trading platforms such as
any SEC Registered Exchange, Alternative Trading System (ATS), Electronic Communication Network (ECN),
broker crossing networks, broker crossing networks not filed as ATS’s, dark pools, multilateral trading
facilities, and systematic internalization systems.
Category 2—Non-Display Trading Platform Usage (Non-OTC Link Participant). Applies to Non-Display Usage
by a Distributor or Recipient who is not an OTC Link participant when the Distributor or Recipient uses the
Information in an Electronic Trading System (as defined above), whether the system trades on the
Distributor’s or Recipient’s own behalf or on behalf of its customers.
Category 3—All Other Non-Display Usage. Applies to all Non-Display Usage other than as set forth in
Categories 1 or 2 above.
DECLARATION
Please select all applicable Non-Display Usage categories and describe usage. For use other than NonDisplay, please provide a brief description of the Application Usage. Fees associated with the categorizations
are noted in our Fee Schedule.
OTC Markets Level 1 Non-Display Usage
No Non-Display Usage ☐
Category 1 ☐
Category 2 ☐
Category 3 ☐
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Please note application name(s) and use case(s) for usage (Non-Display & use other than Non-Display)
Click or tap here to enter text.
OTC Markets Level 2 Non-Display Usage
No Non-Display Usage ☐
Category 1 ☐
Category 2 ☐
Category 3 ☐
Please note application name(s) and use case(s) for usage (Non-Display & No Non-Display Use)
Click or tap here to enter text.
ACCEPTANCE
Customer certifies to OTC Markets Group that it's Non-Display declaration is complete and accurate as of
this filing. Customer acknowledges fees for OTC Markets Non-Display usage are applicable from January 1,
2017 ("Declaration Effective Date"), and will be directly billed to the customer by OTC Markets Group.
Customer is required to promptly inform OTC Markets Group of any changes to this declaration, including
revised reporting.
Amended declarations resulting in a decrease to customer’s billing must be made within 60 calendar days of the
filing date noted below.
Signature
Print Name
Title
Date
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