DISTRIBUTOR’S INFORMATION PLAN

As a requirement to receive OTC Markets market data, please answer all questions in this document. If additional space is needed, please attach an exhibit.

Should you have any questions or require assistance completing this Information Plan, please call or email Teresa Bowie (212-896-4454 or ).

I.  Information about Distributor (Your Firm):

Name of Your Firm

Name of Your Service / Application

Display Non-Display

Primary Installation Address / Secondary Installation Address
Address / Address
City / City
State
Postal Code / State
Postal Code
Country / Country
Billing Address / Usage Reporting Contact
Address / Name
City / Phone
State
Postal Code / Email
Country
Primary Contact / Billing Contact
Name / Name
Phone / Phone
Email / Email
Notices Contact / Technical Contact
Name
Phone / Name
Phone
Email / Email
Address
City
State
Postal Code
Country

Distributor is required to notify OTC Markets Group in writing of any changes to this document and may be required to provide an updated document at the discretion of OTC Markets Group.

II.  Use of Information

1.  What Information will your firm subscribe to? Check all that apply.

Company Data * Quote History *

Compliance Data * Real-Time L1+ Display Non-Display

Compliance Analytics Data * Real-Time L2+ Display Non-Display

Delayed Data (Display) Real Time Reference Prices (Display)

Derived Data (Non-Display) RSS Feed

End of Day Pricing Service * Security Data *

CUSIP information is available to those Distributors who have a valid CUSIP License with S&P. If requesting CUSIP information, please insert your full name to confirm the Distributor holds a current and valid CUSIP license with S&P.

2.  For each requested data set checked above, fully describe the intended use of the Information.

3.  Will the Information be distributed internally (Y/N) or externally (Y/N) ?

4.  To whom will you distribute the Information? Check all that apply.

Internal employee general users External non-professional subscribers

Internal development and support users External professional subscribers

Affiliate Distributors * Other (specify)

*see section 2.b of the Market Data Distribution Agreement and attach a list to be included in the agreement.

5.  Describe uses of the information for advertisement, demonstration, product development, technical operations, monitoring of data quality and customer service.

III.  Distribution and Control of Information

1.  Will the Information be distributed via a display application where you control BOTH the individual end user entitlements and the end user display of Information? (Y/N) If Yes, name the application(s) and version number(s), even if proprietary.

All applications displaying the Information must display the security tier within the same screen as the security name. Your firm will have up to 90 days to provide evidence of compliance (screen shots). Which option will your firm use?

OTC Markets display requirements: http://www.otcmarkets.com/content/doc/market-data-display-requirements.pdf

Option 1 Full Name / Option 2
2 Characters / Option 3
5 Characters or less / Option 4
Short Name
OTCQX US Premier / QX / OTCQX / OTCQX
OTCQX US / QX / OTCQX / OTCQX
OTCQX International Premier / QX / OTCQX / OTCQX
OTCQX International / QX / OTCQX / OTCQX
OTCQB / QB / OTCQB / OTCQB
OTC Pink - Current Information / PK / OTCPK / OTCPK – Current
OTC Pink - Limited Information / PK / OTCPK / OTCPK – Limited
OTC Pink - No Information / PK / OTCPK / OTCPK – No Info
FINRA BB / BB / OTCBB / OTCBB
Grey Market / GM / Grey / Grey Market
Caveat Emptor / CE / CV EM / CV Emptor

2.  Will the Information be distributed via a data feed or API, where you do not control BOTH the individual end user entitlements, and the end user display of Information? (Y/N) . If Yes, identify recipients as they must be signatory to a Market Data Distribution Agreement (prior approval).

3.  Provide the name and address of the organization(s) that supply(ies) the display software, even if proprietary.

4.  Do you have an entitlement system that controls access down to the individual end user? (Y/N) If No, fully explain how the Information will be protected from unauthorized use?

5.  Provide the name and version number of your firm’s entitlement system as well as the provider of the entitlement system, even if proprietary.

6.  Provide the address of the entitlement system (if different from primary installation address).

7.  Will the Information be externally distributed via your company owned website (Y/N)? If Yes, how is the Information protected from unauthorized use? Provide the URL(s) that will display the Information.

8.  Will the Information be co-branded/white labeled for other display applications or internet websites (Y/N)? If Yes, do you control BOTH the individual end user access and display of Information on these display applications and internet websites? (Y/N) If No, identify the recipients as they must be signatory to a Market Data Distribution Agreement prior to Distribution (prior approval).

9.  Will the Information be distributed via another method not listed on this form? (Y/N) If Yes, explain in detail

10.  The Distribution Agreement requires monthly usage reports and supporting documentation to remain on file for at least two years. Does your firm have this capacity? Choose an item.

11.  How will the usage reports be maintained (hard copy, electronic file, other)?

12.  Will Distributor provide monthly end user reporting to OTC Markets? Choose an item. If No, who will provide

13.  Will Distributor’s monthly usage be billed directly by OTC Markets? Choose an item. If No, who will bill

IV.  Connection Information

1.  Will OTC Markets directly provide the Information to your firm? (Y/N) If No, name the Market Data provider.

2.  If OTC Markets will provide the Information directly to your firm, will you connect via a direct connection (Y/N) or via an extranet provider? (Y/N) Name the extranet provider

If connecting directly to OTC Markets (not through an extranet provider), please refer to the Network Connectivity and Access Fees listed on our fee Schedule http://www.otcmarkets.com/content/doc/market-data-fees.pdf and complete the Direct Connectivity Addendum http://www.otcmarkets.com/content/doc/distribution-direct-connection.doc.

Please contact with any connection questions.

Any use of the Information not described fully in this Distributor’s Information Plan and approved by OTC Markets Group is prohibited. Your firm is required to update this Plan and obtain the approval of OTC Markets in the event the use of the Information changes in any material respect.

I certify that the statements made in this Distributor’s Information Plan are accurate and complete.

Name of Distributor (Your Firm):

By:

Name:

Title:

Date:

Approved by OTC Markets Group Inc

By:

Name: Matthew Fuchs

Title: Executive Vice President

Date:

OTC Markets Group - Market Data Information Plan 061714 Page 2 of 4