Please Indicate Tradition Introducing Brokers Intended to Use for Swap Execution

Customer Swaps Information Form - (Rev 04/16)

Date: ______

Please Indicate Tradition Introducing Brokers Intended to use for Swap Execution:

Tradition Securities and Derivatives, Inc. (Rates, Equities, Credit, Oil, Precious Metals, Credit, NDFs) (yes / no)

TFS Energy Futures LLC (Natural Gas, Electric Power, Coal, Emissions) (yes / no): ______

TFS-ICAP LLC (FX Options) (yes / no): ______

Customer Full Legal Name: ______

Legal Entity Identifier (LEI): ______

Legal Address: Street ______

City / State / Zip/ Country ______

Business Address: Street ______

City / State / Zip/ Country ______

Billing Address (if other than business address):

City / State / Zip/ Country ______

Business Phone ______TAX I.D. #______

Back Office Contact ______Email ______

Compliance Contact ______Email ______

Compliance Contact Address ______

Billing Contact______Email ______

Customer is an eligible contract participant? (as defined in Section 1a(18) of the Commodity Exchange Act) ______

Customer is a registered Swap Dealer or a Major Swap Participant (indicate) ______

If customer is not a Swap Dealer or Major Swap Participant, is the customer a Financial Entity, as defined in CEA Section 2(h)(7)(C)? (Yes/No)______

Customer is a US Entity? (Yes / No) ______

If non-US Entity: Agent for Service of Process in US:

Name______

Address: ______

If non-US entity: Please provide signed ISDA Cross-border Representation Letter.

If Customer intends to act as a Swap Clearing Firm:

DCO Membership(s)______DCO ID(s)______

If Customer is a Non-Clearing Firm and intends to transact cleared swaps:

Identify Clearing Firm(s) for which you have a relationship for SEF products ______

Clearing / Give Up Instructions: ______

Clearing Firm Contact ______

______

Contact information for individual completing this Participant Information Form:

Name: ______

Position: ______

Email: ______

Phone: ______

Please return completed form to

TFS Energy Futures LLC Tradition Securities and Derivatives, Inc. TFS-ICAP LLC

680 Washington Boulevard, 5th floor, 255 Greenwich Street, 4th floor 32 Old Slip, 34th floor

Stamford, CT 06901 New York, NY, 10007 New York, NY, 10005

Member NFA Member NFA, FINRA, ISE, NASDAQ PHLX , SIPC Member NFA