EFTA01583235.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 *Rend/Structured Products faulty Options Level 2 Buying OpIons/Structured Products Structured Pro& Level 3. Spreads/Stlructured Products Level 5: Uncovered YIriting/Structured Prodi.cts Level 6: Combinations/Straddles/Structured Products B. ARBITRATION; CONSENT TO JURISDICTION; SERVICE OF PROCESS. AGREEMENT, THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE. BY SIGNING AN ARBITRATION THE PARTIES AGREE AS FOLLOWS: INCLUDING THE • ALL PARTIES TO THIS AGREEMENT ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, IN WHICH A RIGHT TO A TRIAL BY JURY, EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATION FORUM CLAIM IS FILED. TO HAVE A COURT REVERSE • ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY'S ABILITY OR MODIFY AN ARBITRATION AWARD IS VERY UNITED. OTHER DISCOVERY IS • THE ABILITY OF THE PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS AND S. GENERALLY MORE UNITED IN ARBITRATION THAN IN COURT PROCEEDING AWARD UNLESS, IN AN ELIGIBLE • THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT CASE, A JOINT REQUEST LEAST 20 DAYS PRIOR TO THE FIRST SCHEDULED HEARING DATE. S WHO WERE OR ARE AFFILIATED • THE PANEL OF ARBITRATORS MAY INCLUDE A MINORITY OF ARBITRATOR WITH THE SECURITIES INDUSTRY. LIMITS FOR BRINGING A CLAIM IN • THE RULES OF SOME ARBITRATION FORUMS MAY IMPOSE TIME CLAIM THAT IS INELIGIBLE FOR ARBITRATION MAY BE DROUGHT IN COURT. ARBITRATION. IN SOME CASES, A IS FILED, AND ANY AMENDMENTS THERETO, • THE RULES OF THE ARBITRATION FORUM IN WHICH THE CLAIM SHALL BE INCORPORATED INTO THIS AGREEMENT. TO ARBITRATION, NOR SEEK TO ENFORCE NO PERSON SHALL BRING A PUTATIVE OR CERTIFIED CLASS ACTION ARBITRATIO N AGREEMENT AGAINST ANY PERSON WHO HAS INITIATED IN COURT A ANY PRE-DISPUTE ACTION OR WHO IS A MEMBER OF A PUTATIVE CLASS WHO HAS NOT OPTED OUT OF THE CLASS PUTATIVE CLASS ENCOMPASSE D BY THE PUTATIVE CLASS ACTION UNTIL: WITH RESPECT TO ANY CLAIMS THE CLASS CERTIFICATION IS DENIED; (II) THE CLASS IS DECERTIFIED; OR (ill) 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 RS, AND FtELATINGTO, THIS AGREEMENT OR ANY ACTIVITY BETWEEN ME AND ).P. MORGAN, ITS PREDECESSO AND ANY AMY OF THEIR RESPECTIVE SUCCESSORS, ASSIGNS, AND ANY OF THEIR, DIRECTORS, EMPLOYEES, SUBSEQUENT TO OTHER CONTROL PERSONS AND AMY OF THEIR AGENTS, WHETHER ARISING PRIOR TO, ON OR THE DATE HEREOF, SHALL BE DETERMINED BY ARBITRATION PANEL APPOINTED BY FINRA IN ACCORDANCE BY FINRA. WITH ITS RULES, AND SUCH HEARING OR HEARINGS SHALL BE CONDUCTED IN A LOCALE SELECTED UPON THE THE AWARD OF THE ARBITRATORS, OR OF THE MAJORITY OF THEM, SHALL BE FINAL, AND JUDGMENT 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 T OF THE AGREEMENT, THE RELATIONSHIP Of THE PARTIES, AND/OR THE INTERPRETATION AND ENFORCEMEN RIGHTS AND DUTIES OF THE PARTIES, WILL BE GOVERNED BY THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO ANY CONFLICTS OF LAW PRINCIPLES. • I HEREBY AGREE TO RECEIVE SERVICE OF PROCESS IN CONNECTION WITH ANY LEGAL MATTERS, ACTIONS OR 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/Investet 6/13 US1074 Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062870 EFTA01583235