System Description Request

Vendor Information

UTP Administration requires that your organization submit a separate System Description for each entitlement system that controls market data.

Date: Saturday, April 27, 2024

Vendor Name:

(Enter your firm name)

System Information

What is the name of the system your organization will use to distribute UTP Information?

System Information Name:

System Information:

System Information Description:

How does your organization intend to use UTP Information?

Internal

External

Internal & External

Entitlement System

Provide a list of all Entitlement Systems and Software Providers with UTP data.

Entitlement System Provider:

Entitlement System Name:

Entitlement System Version:

How will users be entitled?

Unique User ID & Password
Interrogation Device IP Address
Per Query (entitling subscribers for an individual price or quote)
Cable Television (cable and /or satellite television households accessing the broadcast)

How often will data in the Entitlement System be disseminated?

Entitlement Timeframe:

Intraday

End-of-Day

Overnight

Other

Provide display system provider and software information.

Display Software Provider:

Display Software/Product Name:

Display Software Version:

Unit of Count ( Unit of Count determines pricing )

Select ONE applicable unit of count for this System Description:

Datafeed - Uncontrolled

Datafeed Provider

An Uncontrolled Product is defined as any uncontrolled retransmission of UTP Information to Subscribers. If the Vendor cannot control both the entitlements and the display of the Information, then the system will be considered an Uncontrolled Product.

Distributor Controlled Products

Device/Access/Stand Alone/Internal

Any controlled display product where the Vendor controls both the entitlements and the display of the Information.

Per Query Usage

Information on a single security delivered once to a single device/user id. (In addition, please submit a Per Query System Application)

Non-Display

Any controlled product where the Vendor controls the entitlements and there is no display of the Information. (In addition, please submit a UTP Non-Display System Declaration)

Contact Information

Primary/ Business Contact

First Name

Last Name

Phone Number

Group Email

Address 1

Address 2

Address 3

City

State / Province

Postal Code

Country

Technical Contact

Same as Primary/ Business Contact

First Name

Last Name

Phone Number

Group Email

Address 1

Address 2

Address 3

City

State / Province

Postal Code

Country

Administrative /Reporting Contact

Same as Primary/ Business Contact

First Name

Last Name

Phone Number

Group Email

Address 1

Address 2

Address 3

City

State / Province

Postal Code

Country

Billing Contact

Same as Primary/ Business Contact

First Name

Last Name

Phone Number

Group Email

Address 1

Address 2

Address 3

City

State / Province

Postal Code

Country

Billing Information – All Vendors

Will your organization offer data services to affiliated companies?

NoYes, then a complete List of Affiliates Form is required.

Billing Account Information

Existing Customer Number from Invoice: or New Invoice

Invoice Format:

Email Only

Paper Only

Email & Paper

Invoice Email Address:

Datafeed Billing Address

Same as Primary/ Business Contact

Address 1

Address 2

Address 3

City

State / Province

Postal Code

Country

Usage Reporting Administration

Vendors are required to submit monthly market data usage reports indicating number and location of Interrogation Devices or user IDs or other measure of usage as specified below. Indicate submission method.

Monthly Summary Reporting

NORA Reporting Application.

NORA registration takes place in 3 steps.
(SEE FAQ)

This field is required for ALL Real-Time, Internal
and External Vendors.

PLUS Monthly Detailed Reporting Formats

VRXLS/Spreadsheet

This field is required for Real-Time and Delayed Datafeed Vendors
and Real-Time external Vendors.

Vendors Services - General

How will your organization submit units of count and/or reportable units? See UTP Data Policies for definitions

SUBMISSION OF INFORMATION

DISTRIBUTION METHOD

IP ADDRESS

INTERNAL WITHIN DISTRIBUTOR'S GROUP

REAL-TIME

DELAYED

EXTERNAL SUBSCRIBERS

Send screenshots to admin@utpplan.com

REAL-TIME

DELAYED

User Terminal - Trading

User Terminal - Research

Mobile Device

Wallboard

Television

Website, Internet, Intranet

Text Messaging

Sponsored Access

Direct Market Access/DMA

Risk Management

Back or Middle Office

Clearing and Settlement

Other [specify]

Other Distribution Services

Non-Display Usage

NoYes, organization will offer Non-Display services

Derived Data Usage

NoYes, organization will offer Derived Data services

Subscriber Agreement Information

To skip this question, please check here if your organization does NOT distribute market data to external Subscribers.

As an external Vendor, your organization must administer the Global Subscriber Agreement or equivalent to Subscribers. How will your organization administer the Global Subscriber Agreement?

Please review the Subscriber Agreement and see the UTP Policies

Vendor Indemnification

Vendor administers its own agreement to Subscribers as an equivalent to the Subscriber Agreement.

Online

Vendor offers the agreement via the internet.

Incorporation by Reference

Vendor adds specific language into the Vendor’s own agreement with the Subscriber.

Hard Copy/Paper

Vendor provides Subscriber with a paper copy of the Subscriber Agreement.
Vendor retains executed originals, but does not submit Agreements to UTP Plan Administration.

BY CLICKING SUBMIT, YOUR FIRM IS AGREEING TO THE SUBMISSION OF THE SYSTEM INFORMATION IN ACCORDANCE WITH THE NASDAQ STOCK MARKET LLC VENDOR AGREEMENT FOR UTP SERVICES, THAT THE INFORMATION IS CORRECT, AND THAT YOUR FIRM IS AUTHORIZING UTP ADMINISTRATION TO STORE THE INFORMATION IN ACCORDANCE WITH THE AFOREMENTIONED AGREEMENTS.

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