Customer Agreement

• Protecting Your Privacy

At OptionsHouse LLC, our customers and their identities and privacy are important to us and we are dedicated to protecting the information that you provide us. As such, we have developed this privacy policy which may be updated from time to time.

• Our Pledge To You

While information plays a large role in our ability to provide superior service, we know that our most important asset is our customers' confidence in us. Keeping customer information secure, and using it only as our customers would want us to, are matters of principle for all of us at OptionsHouse. With this in mind, here is our pledge to each and every OptionsHouse customer.

We will:

• Respect the trust you place in us and the confidential nature of the information you provide through your financial relationship with us.
• Limit the collection and use of customer information to what we believe would be useful to service your accounts, administer our business, or tell you about our services.
• Restrict employee access to customer information to those who need to know in order to provide services to you.
• Educate our employees to reinforce the importance of confidentiality and customer privacy.
• Maintain appropriate security standards and procedures to protect information about you.
• Respond quickly to your request to correct inaccurate information.

You can count on us to protect the privacy of the information you have entrusted to us and to provide you with the responsive, professional service you deserve.

• Information We Collect

The information we collect and maintain about you comes primarily from you during the course of your doing business with OptionsHouse. This personal information, not available publicly, comes from the following sources:

• Information you provide to us when you fill out account opening documents, complete a form, or make a request for services. This includes your name, address, e-mail address, age, Driver's License number, Social Security Number, investment objectives, investment experience, telephone number(s), occupation, assets and income.
• Information from your transactions with us, such as your account balance, account usage and margin loan history.
• Information obtained from others, such as credit reporting agencies.

If any of the above noted personal information changes, please contact us so that we may update your account.

• How Information Helps Both You and Us

Our mission is clear: to help you reach your financial goals. Information about you and your accounts plays a key role in our ability to succeed in this mission. It also helps us service your accounts and administer our business.

For example, we use information about you to:

• Respond more accurately and efficiently to your requests.
• Identify opportunities to give you more convenience and control by developing new services that may benefit you.
• Secure your accounts and help protect you and OptionsHouse from fraud.

• Keeping Information Safe

We limit access to the information we have about you to those employees who need to know to provide you with services to help you meet your financial needs. We maintain appropriate physical, electronic and procedural safeguards to protect your information.

• The Importance of Being Accurate

We have security standards and procedures in place designed to prevent unauthorized access to your accounts and personal information. A key part of this process ensures that all information we have about you is accurate and up-to-date. If you ever discover inaccuracies in our data or if your personal information changes, we urge you to notify us immediately.

• Protect Your Password

One way to guard against unauthorized access or intrusion to your account is to keep your OptionsHouse password private. Note: OptionsHouse does not have access to your password. Here are some suggestions on how to choose and safeguard your password:

For example, we use information about you to:

• Do not share your password with anyone.
• Do not write your password down.
• Type your password each time it is required of you. Do not save your password on the site entry screen or develop a shortcut to reproducing your password
• Avoid using easily guessed words such as your name, user id, or any variation thereof (backwards, changing case, etc.).
• Avoid words referring to anything noticeable about you: the name of your spouse, child, pet, your favorite football team, or literary character.
• Avoid any combination of your office number, address, birthday, or anniversary.
• Avoid any combination of you license-plate number, your social-security number.

If you feel that your password is no longer secure, please change it immediately.

• We Limit The Sharing Of Information

To protect your privacy, we limit the information we share outside OptionsHouse. We conduct our business with great respect for the confidential nature of the information being provided. We will not share information about you except as outlined below.

• Sharing Information With Companies Who Help Us Provide You Services

We may share the information described under the Section captioned "Information We Collect" with affiliates of OptionsHouse. Additionally, this information may be shared with companies external to OptionsHouse to complete a transaction you have requested or to help us service your account. We are highly selective in choosing these companies. All companies with whom we do business are contractually obligated to comply with strict standards regarding security and confidentiality, and the information can be used only for the sole purpose of providing the service we have requested the company to perform. Examples of the types of outside companies with which we may share information include non-financial companies that perform services for us such as data processing and companies that perform securities execution and clearing services on our behalf.

• Sharing Information In Other Situations

OptionsHouse may also be required to release your information to nonaffiliated third parties as required by law or to cooperate with regulators or law enforcement authorities. This may include releasing such information to nonaffiliated parties such as Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), or the Internal Revenue Service (IRS) as well as any of the securities exchanges or regulatory authorities in states in which OptionsHouse is registered. OptionsHouse may also be required to disclose nonpublic, personal information as required under court order or subpoena or for certain obligations of OptionsHouse under the USA Patriot Act.

• Linking to Other Sites

From time to time, OptionsHouse Web Site may provide links to other Web Sites not owned or controlled by OptionsHouse that we think might be useful or of interest to you. We cannot, however, be responsible for the privacy practices used by other Web Site owners or the content or accuracy of those other websites. Links to various non-OptionsHouse Web Sites do not constitute or imply endorsement by OptionsHouse of these websites, any products or services described on these sites, or of any other material contained in them.

• Opting Out

If you no longer wish to receive marketing and promotional material from OptionsHouse, you can opt out by clicking on the "unsubscribe" link on the e-mail you received from OptionsHouse. Even if you decide to opt out and no longer receive OptionsHouse marketing and promotional material, you are required to maintain an email address with OptionsHouse so that we can continue to email you legally required notices and trade related information in order to transact business effectively and follow regulatory guidelines.

• Notification of Changes to OptionsHouse's Privacy Policy

The OptionsHouse Privacy Policy may change from time to time. If material changes are made to the Privacy Policy, OptionsHouse will promptly send (via regular mail or e-mail) the updated version to our current customers. The latest version of our Privacy Policy will be available on our website for easy reference. For further information regarding our Privacy Policy please email us at support@OptionsHouse.com.

• An Ongoing Commitment To Your Privacy

We are just as committed to protecting the privacy of our former customers as we are our current customers. If you choose to close your account(s) or become an inactive customer, you will continue to be protected by the privacy policies and principles described in this policy.

• A Tip From Us

Many customers wish to reduce the amount of advertising that they receive from other companies - both by mail and by phone. One way to do this is to write to the Direct Marketing Association requesting that your name be removed from mailing and telemarketing lists.

To remove your name from mailing lists, write:

Mail Preference Service
c/o Direct Marketing Association
P.O. Box 9008
Farmingdale, NY 11735-9008

To remove your name from telemarketing lists, write:

Telephone Preference Service
c/o Direct Marketing Association
P.O. Box 9014
Farmingdale, NY 11735-9014

Please be sure to include complete information about each name, address, and telephone number that you would like to have excluded from national advertising lists. If you have moved within the past year, you should also include your old address and phone number. The same is true for name changes and the addresses and phone numbers associated with each name.

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