What is the definition of a “non-professional” subscriber for pricing and contract purposes?
According to the American Stock Exchange service agreements, a “non-professional” is defined as an individual person, acting in his/her personal capacity, who is not: • registered or qualified with the Securities and Exchange Commission, Commodities Futures Trading Commission, any state securities agency, securities exchange or association, or any commodities or futures contract market or association; • engaged as an “investment advisor” as defined in Section 202(a)(11) of the Investment Advisers Act of 1940; or • employed by a bank or other organization exempt from registration under Federal and/or state securities laws to perform functions that would require registration or qualification if such functions were performed for an organization not so exempt. For more information, refer to the Amex Agreements and Amex Pricing sections of this site.
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