EFTA01583309.pdf

J.P. Morgan Over The Counter Derivatives Approval Form for Equity Options and Structured Products A. Derivatives Approval Level OTC Options Please check all that apply: Level 1: Covered writing/Structured Products Cl Mt/ Options Level 2: Buying Options/Stnictured Products El Structured Products Level 3: Spreads/SITuctured Products Level 5: Uncovered Writing/Structured Products Level 6: Combinations/Straddles/Structured Products B. ARBITRATION; CONSENT TO JURISDICTION; SERVICE OF PROCESS. , THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE. BY SIGNING AN ARBITRATION AGREEMENT THE PARTIES AGREE AS FOLLOWS: INCLUDING THE • ALL PARTIES TO THIS AGREEMENT ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, BY JURY, EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATIO N FORUM IN WHICH A RIGHT TO A TRIAL CLAIM IS FILED. COURT REVERSE • ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY'S ABILITY TO HAVE A OR MODIFY AN ARBITRATION AWARD IS VERY LIMITED. AND OTHER DISCOVERY IS • THE ABILITY OF THE PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS S. GENERALLY MORE LIMITED IN ARBITRATION THAN IN COURT PROCEEDING UNLESS, IN AN ELIGIBLE • THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT CASE, A JOINT REQUEST FOR AN EXPLAINED LEAST 20 DAYS PRIOR TO THE FIRST SCHEDULED HEARING DATE. WERE OR ARE AFFILIATED • THE PANEL OF ARBITRATORS MAY INCLUDE A MINORITY OF ARBITRATORS WHO WITH THElSECURITIES INDUSTRY. BRINGING A CLAIM IN • THE RULES OF SOME ARBITRATION FORUMS MAY IMPOSE TIME LIMITS FOR CASES, A CLAIM THAT IS INELIGIBLE FOR ARBITRATIO N MAY BE BROUGHT IN COURT. ARBITRATION. IN SOME FILED, AND ANY AMENDMENTS THERETO, • THE RULES OF THE ARBITRATION FORUM IN WHICH THE CLAIM IS SHALL BE INCORPORATED INTO THIS AGREEMENT. N, NOR SEEK TO ENFORCE • NO PERSON SHALL BRING A PUTATIVE OR CERTIFIED CLASS ACTION TO ARBITRATIO AGAINST ANY PERSON WHO HAS INITIATED IN COURT A ANY PRE-DISPUTE ARBITRATION AGREEMENT WHO HAS NOT OPTED OUT OF THE CLASS PUTATIVE CLASS ACTION OR WHO IS A MEMBER OF A PUTATIVE CLASS UNTIL: WITH RESPECT TO ANY CLAIMS ENCOMPASSED BY THE PUTATIVE CLASS ACTION (I) THE CLASS CERTIFICATION IS DENIED; (II) THE CLASS IS DECERTIFIED; OR (III) THE CUSTOMER IS EXCLUDED FROM THE CLASS BY THE COURT. A WAIVER OF ANY RIGHTS UNDER SUCH FORBEARANCE TO ENFORCE AN AGREEMENT SHALL NOT CONSTITUTE THIS AGREEMENT EXCEPT TO THE EXTENT STATED HEREIN. SIES ARISING UNDER, OR • BY SIGNING THIS AGREEMENT, J.P. MORGAN AND I AGREE THAT CONTROVER PREDECESSORS, AND RELATING TO, THIS AGREEMENT OR ANY ACTIVITY BETWEEN ME AND ).P. MORGAN, ITS SUCCESSOR S, ASSIGNS, AND ANY OF THEIR, DIRECTORS, EMPLOYEES, AND ANY ANY OF THEIR RESPECTIVE SUBSEQUENT TO OTHER CONTROL PERSONS AND ANY OF THEIR AGENTS, WHETHER ARISING PRIOR TO, ON OR ACCORDANCE THE DATE HEREOF, SHALL BE DETERMINED BY ARBITRATION PANEL APPOINTED BY FINRA IN BY FINRA WITH ITS RULES, AND SUCH HEARING OR HEARINGS SHALL BE CONDUCTED IN A LOCALE SELECTED THE AWARD OF THE ARBITRATOR S, OR OF THE MAJORITY OF THEM, SHALL BE FINAL, AND JUDGMENT UPON THE N. AWARD RENDERED MAY BE ENTERED IN ANY COURT, STATE OR FEDERAL, HAVING JURISDICTIO • THIS AGREEMENT, AND ANY CLAIM, CONTROVERSY OR DISPUTE ARISING UNDER OR RELATED TO THIS OF THE AGREEMENT, THE RELATIONSHIP OF THE PARTIES, AND/OR THE INTERPRETATION AND ENFORCEMENT PARTIES, WILL BE GOVERNED BY THE LAWS OF THE STATE OF NEW YORK WITHOUT RIGHTS AND DUTIES OF THE REGARD TO ANY CONFLICTS OF LAW PRINCIPLES. OR I HEREBY AGREE TO RECEIVE SERVICE OF PROCESS IN CONNECTION WITH ANY LEGAL MATTERS, ACTIONS , PROCEEDINGS BASED UPON, ARISING OUT OF, OR RELATING IN ANY WAY TO, THIS AGREEMENT BY CONFIRMED TO RETURN-RECEIPT REQUESTED MAIL, AND THAT DELIVERY SHALL BE PRESUMED IF SUCH SERVICE IS MAILED THE ADDRESS MAINTAINED BY J.P. MORGAN IN ITS RECORDS. ).P. Morgan Use Only Title SPN CAS Page 1 of 2 Banker/Investor 6/13 U51074 Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062955 EFTA01583309