PDF《Uniform Futures and Options》

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12 第1页,共12页In case of any discrepancy between the English and Chinese version of this addendum, the English version shall prevail.

CROSS TRADE CONSENT TD?Ameritrade Futures &

Forex LLC, its officers, directors, employees, or affiliates, or other customers of TD?Ameritrade Futures &

Forex LLC or of the servicing floor broker may be from time to time on the opposite side of orders for physicals or for purchase or sale of futures contracts and option contracts placed for your Account in conformity with regulations of the Commodity Futures Trading Commission and the by-laws, rules, and regulations of the applicable market (and its clearing organization, if any) on which such order is executed. Uniform Futures and Options on Futures Disclosures *TDA601SC* 期货与期货期权统一披露声明 若此份附录的英文与中文版本内容有任何差异,以英文 版本为准. 交叉交易同意书 TD Ameritrade Futures &

Forex LLC、其执行官、董事、雇员或附属公司,或TD Ameritrade Futures &

Forex LLC 或服务场地经纪商的其他客户,可能就现货或 期货合约和期权合约的买卖,不时成为在您账户中设置订 单的对手方,这些订单的执行符合商品期货交易委员会的 规定和适用市场 (及其清算机构,如有) 的附例、规则及 规定. Page

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12 第2页,共12页NOTICE REGARDING AVERAGE PRICE SYSTEM ( APS ) You should be aware that certain U.S. and non-U.S. exchanges, including the CME and CBOT, may now or in the future allow a futures commission merchant ( FCM ) such as TD?Ameritrade Futures &

Forex LLC to confirm trades executed on such exchanges to some or all of their customers on an average price basis regardless of whether the exchanges have average price systems of their own. Average prices that are not calculated by an exchange system will be calculated by your FCM. In either case, trades that are confirmed to you at average prices will be designated as such on your daily and monthly statements. APS enables a clearing firm to confirm to customers an average price when multiple execution prices are received on an order or series of orders for the same accounts. For example, if an order transmitted by an account manager on behalf of several customers is executed at more than one price, those prices may be averaged and the average may be confirmed to each customer. Customers may choose whether to use APS, and may request that APS be used for discretionary or non- discretionary accounts. An order subject to APS must be for the same commodity. An APS order may be used for futures, options, or combination transactions. An APS order for futures must be for the same commodity and month, and for options, it must be for the same commodity, month, put/call, and strike. An APS indicator will appear on the confirmation and monthly statement for a customer whose positions have been confirmed at an average price. This indicator will notify the customer that the confirmed price represents an average price or rounded average price. The average price is not the actual execution price. APS will calculate the same price for all customers that participate in the order. APS may be used when a series of orders are entered for a group of accounts. For example, a bunched APS order (an order that represents more than one customer account) executed at 10:00 a.m. could be averaged with a bunched APS order executed at 12:00 p.m. provided that each of the bunched orders is for the same accounts. In addition, market orders and limit orders may be averaged, as may limit orders at different prices, provided that each order is for the same accounts. The following scenario exemplifies what occurs if an APS order is only partially executed. At 10:00 a.m. an APS order to buy