1. Do you use Market Data solely for your personal, non-business use?
2. Do you receive Market Data for your business or any other entity?
3. Are you currently registered or qualified with the SEC or the CFTC?
4. Are you currently registered or qualified with any securities agencies, any securities exchange, association or regulatory body, or any commodities or futures contract market, association or regulatory body, in the United States or elsewhere?
5. Whether you are located within or outside of the United States, do you perform any functions that are similar to those that require an individual to register or qualify with the SEC, the CFTC, any other securities agency or regulatory body, any securities exchange or association, or any commodities or futures contract market, association or regulatory body?
6. Are you engaged to provide investment advice to any individual or entity?
7. Are you engaged to an asset manager?
8. Do you use the capital of any other individual or entity in the conduct of your trading? Note, trading on margin (borrowed money) on your own account is not considered using the capital of another individual or entity. In the event of an audit, UTP will employ verification processes including but not exclusive to the above procedures.
9. Do you conduct trading for the benefit of a corporation, partnership, or any other entity?
10. Have you ever entered into any agreement to share the profit of your trading activities or receive compensation for your trading activities?
11. Are you receiving office space, and equipment or other benefits in exchange for your trading or work as a financial consultant to any person, firm or business entity?