SCOTTRADE OPTIONS AGREEMENT

史考特期權合約

CUSTOMER COPY (PLEASE RETAIN FOR YOUR RECORDS)客戶影本（您的記錄請保存）

THIS IS A CONTRACTUAL AGREEMENT - DO NOT SIGN THE OPTIONS

APPLICATION UNTIL YOU HAVE READ THIS AGREEMENT CAREFULLY.

這是一份契約性合約 - 請仔細閱讀後再在期權申請表上簽字

With respect to any transaction effected by or on behalf of SCOTTRADE, INC. and its family of companies ("Scottrade," "We," or "Us") on my behalf for the purchase and/or sale of any options contract (puts, calls, etc.), listed on any exchange or traded in any market, I agree and represent hereby as follows:

對於史考特證券公司（Scottrade,Inc）或以其公司集團（“史考特證券，““我們，“或“對於我們“）的名義代表本人在任何證券交易所或任何證券市場掛牌進行的期權合約買賣交易(賣權、買權等)，本人同意並特此聲明如下：

1. I have received and examined a copy of the options disclosure brochure entitled “Characteristics and Risks of Standardized Options, “ which has been made available to me by Scottrade, Scottrade.com or CBOE.com and is also available upon request. I understand and am prepared to take the risk involved in trading options contracts. Neither Scottrade nor its agents are under any obligation to convey any information to me relating to the underlying securities or indexes covered by any option, or to any securities or indexes related thereto, and no information so conveyed shall be construed as creating an implied agreement or course of dealing requiring Scottrade or its agents to convey any further information to me.

1．本人已收到並查閱了題為“標準期權的特性與風險”的期權公開說明手冊。我可以通過史考特證券公司、其網站Scottrade.com 或者在芝加哥期權交易所（CBOE）獲得，我也可以索要此手冊。本人明白並準備接受交易期權合約所產生的風險。史考特以及其代理人都沒有義務向本人提供有關任何與期權相關的證券、指數以及由期權合約包括得證券和指數以及相關的資訊。史考特以及其代理人向本人提供的任何資訊，不能解釋為其與本人達成了隱含的協定或在交易期間要求史考特向本人提供更多的資訊。

2. It shall be my sole responsibility to exercise, in a proper and timely manner, any right, privilege or obligation of any put, call or other option which Scottrade or its agents may purchase, handle, endorse or carry for my account. Whether acting alone or in concert with others, I agree not to exceed the position limits set for my account by Scottrade or its agents, any exchange or market, or any other regulatory authority having jurisdiction.

2. 本人應獨自負責及時以適當的方式執行任何權利，特權或任何賣權，買權或其它針對我的帳戶史考特或其代理人購買，處理，背書的任何期權。無論是自行或者與他人共同操作，本人同意不超過由史考特與其代理人、任何交易所或市場，或任何其他管制機構制定的持倉庫存數量。

3. I agree to immediately deliver any funds or securities required as the result of the exercise or assignment of options contracts in my account. In their sole discretion and without notification to me, Scottrade and its agents are authorized to take any and all steps necessary to protect Scottrade or such agents from loss or damage arising out of any option transaction in my account. This discretion applies regardless of any past action taken or not taken by Scottrade or its agents, and is in no way to be construed as an obligation on the part of Scottrade or its agents to take such action on my behalf. Should Scottrade or its agents deem it necessary for their protection for any reason, or if I die, I hereby authorize Scottrade and its agents to buy, sell or sell short any option or security in my account, depending on my risk level. I agree to reimburse any and all expenses Scottrade or its agents incur in connection with such transactions.

3．我同意立即交付由於我帳戶中的期權的執行或指派而產生的所需資金或證券。 史考特證券以及其代理人有權獨自判斷，在不通知本人的情況下採取任何及一切必要的措施保護史考特以及其代理人免遭因本人帳戶中的任何期權交易而導致的損失或損害。無論史考特以及其代理人在過去採取或沒有採取的措施，此獨自判斷都將適用，並且完全不能認?是史考特或其代理人有義務以我的名義採取這樣的措施。如果史考特或其代理人由於任何理由認?有必要保護他們自己，或者如果我死亡，我在此授權給史考特根據我的風險承受度，買入、賣出或者賣空在我帳戶中的任何期權或證券。我同意補償史考特或其代理人與此交易相關的所有費用。

4. This Agreement shall apply to all put, call or other options which Scottrade or its agents may have previously purchased, sold, executed, handled, endorsed or carried for my account and shall also apply to all put, call or other options which Scottrade or its agents may hereafter purchase, sell, handle, endorse or carry for my account and shall inure to Scottrade's or its agent's benefit as now or hereafter consulted.

4．本合約適用於史考特或其代理人以前代表本人購買、出售、簽署、操作、背書或持有的所有賣權、買權或其它期權，也適用於史考特或其代理人在今後將代表本人購買、出售、簽署、處理、背書或持有的所有賣權、買權或其它期權。本合約無論現在和將來均維護史考特或其代理人的利益。

5. I understand that Scottrade and its agents use a random method for allocation of exercise assignment notices for option contracts. This allocation method randomly selects from among all my short option positions, including positions established on the day of assignment. All short option positions are liable for assignment at any time. (A more detailed description of this procedure is available upon request.) I agree to be bound by such allocation method and also agree that, if an exercise notice is assigned to my account, the underlying security (or sufficient cash in the case of stock index options) will be delivered to Scottrade within the stated period of time in the case of a call, and sufficient cash to effect settlement of the assignment will be delivered to Scottrade in the case of a put.

5．我理解，史考特或其代理人採用隨機方法（Random）來為期權合約的執行指派通知指定分配。此隨機分配方法從所有出售期權的客戶中選擇，包括在指派日建立的期權。所有出售的期權隨時可成?指派對象。(顧客可以索要隨機分配程序更詳細的描述)。我同意受該分配方法的約束，並同意當執行通知被指派到本人帳戶時，本人將在規定期限內向史考特在買權的情況下交付期權證券(或在股票指數期權情況下則交付足夠現金)，和在賣權的情況下向史考特 (，交付足額現金以結清指派。

6. If an account has an option position on the last trading day prior to expiration that closes $0.01 or more in the money, the option will be exercised automatically, unless I contact Scottrade with explicit contrary instructions before 4:00 p.m. Eastern Time. In the event of such exercise, the proceeds in excess of commission costs created thereby will be credited to my account. In the event that the commissions to be charged for such an expiration transaction exceed the proceeds to be realized, I agree and hereby relinquish my ownership in said option to Scottrade, and Scottrade or its agents may exercise such options for Scottrade's account. Scottrade and its agents reserve the right to require cash or securities in my account before exercising an option automatically or on my instruction. This discretion applies regardless of any historical patterns of action taken or not taken by Scottrade or its agents.

6．若帳戶持有一期權在其到期日前的最後一個交易日有一個在價內（In the money）$0.01或更多的期權，那麼此期權會自動執行，除非我在美東時間下午4點之前聯係史考特給與明確相反的指示。如果此執行發生，超出佣金的那部分收入將會記入帳戶中。如果到期執行交易產生的佣金大於所得的收入，我在此同意將所述期權的擁有權轉讓給史考特，且史考特或其代理人可以在史考特的帳戶中執行這個期權。在自動或在我的指示下執行此期權之前，史考特或其代理人保留要求我帳戶中的現金和證券的權利。此判斷無論史考特或其代理人在過去是否採取過任何慣常行動都適用。

7. All transactions under this Agreement shall be subject to the rules, regulations, customs and practices of the exchange or market, and the Options Clearing Corporation, where such transactions are executed and/or cleared. All transactions are also subject to the rules and regulations of the Securities Exchange Commission, the Board of Governors to the Federal Reserve System, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority (FINRA) and all other applicable federal agencies, state agencies and self-regulatory organizations. Notwithstanding the foregoing, this Agreement is governed by Missouri law.

7. 本合約下的所有交易受交易執行和/或清算所在的交易所，市場以及期權結算公司（OCC）之章程、法規，制度、習慣和慣例的約束。所有交易同時還受證券交易委員會（SEC）、聯邦儲備委員會、商品期貨交易委員會、金融行業管制局（FINRA）和其它有關聯邦,州立機構和自律機構的法規和規定的約束。除上述之外，本合約受密蘇里州法律的約束

8. Whenever any statute shall be enacted or regulation made under any statute by any exchange, market or the Options Clearing Corporation that shall be applicable to and affect in any manner or be inconsistent with any of the provisions of this Agreement, the provisions of this Agreement so affected shall be deemed modified or superseded by such statute or regulation.

8. 無論何時，任何交易所、市場或期權清算公司（OCC）所通過的對此合約中的規定適用，影響或不一致的任何章程或由任何章程制定的規定，此合約中受此章程或規定影響的條款將被認?是已修改或中止。

9. Communications may be sent to me at my address of record, and all communications sent, whether by first class postage paid mail, overnight courier or otherwise, shall be deemed given to me personally, whether actually received or not. Communications sent to me by first class postage paid mail shall be deemed received three business days thereafter. Communications sent to me by overnight courier or similar method, shall be deemed received one business day thereafter.

9. 通信聯絡將發送到帳戶申請書註明的地址，或發送到以後本人通知貴公司的其它地址。無論以普通郵件、快遞還是其它方式發送，無論本人收到與否，所有聯信函均應視作已遞送給本人。以一般郵件發送的信函於寄出三個工作日後視為已經收訖。以快遞或類似方式發送的信函於寄出一個工作日後視?已經收訖。

10. I acknowledge that I have received, read and agree to abide by the terms of Scottrade's Brokerage Account Agreement which contains a pre- dispute arbitration clause. The parties agree as follows:

(a) all parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.

(b) arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.

(c) the ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration that in court proceedings.

(d) the arbitrators do not have to explain the reason(s) for their award.

(e) the panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.

(f) the rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.

(g) the rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.

You agree to arbitrate any controversy between you and us (including any of our officers, directors, employees, or agents) arising out of or relating in any way to our relationship, your account, any account that you may cause to be opened with us in the future, or any service provided by us, including but not limited to : (a) transactions of any kind made on your behalf, through or with us; or (b) the performance, construction or breach of this agreement or any other agreement between you and us. If you are not a resident of the united states at the time a controversy subject to arbitration arises, you agree that any arbitration hearing shall be held in St. Louis, Missouri; you consent to the personal jurisdiction of all courts located in the state of Missouri for purposes of enforcing this arbitration agreement and any arbitration award; and you agree that any arbitration proceeding shall be conducted in the English language. If any party unsuccessfully resists confirmation or enforcement of an arbitration award rendered under this agreement, then all costs, attorney's fees, and expenses incurred by the other party or parties in confirming or enforcing the award shall be fully assessed against and paid by the party resisting confirmation or enforcement of the award. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of putative class until: (a) the class certification is denied; or (b) the class is decertified; or (c) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein.

10. 我了解我已收到，閱讀和同意遵循史考特經紀帳戶合約，此合約含有糾紛前仲裁協條例。

各方同意如下：

（A）此合約的各方放棄在法庭起訴對方的權利，包括陪審團審訊的權利，提交索賠的仲裁會的判決所提供的權利例外。

（B）仲裁裁決通常是最終並且是制約的；一方通過法庭駁回或修訂仲裁裁決的能力是非常局限的。

（C）在仲裁中，各方獲取文件，證人證詞和其它發現通常比法庭程序要更有所限制。

（D）仲裁員不必要解釋他們裁決的理由。

（E）仲裁團內通常包括少數以前或目前與證券行業有關的仲裁員

（F）有些仲裁團的法則可能會施加將索賠提交仲裁的時間限制。在大多數情況下，不符合仲裁的索賠可以提交法庭。

（G）提交索賠的仲裁團的法則，和任何其它的修正案，應當融合於此合約之中。

您同意我們（包括我們的任何執行官，董事，雇員或代理人）與您之間因?我們的關係，您的帳戶，任何您將來會在我們這裡開設的帳戶或任何由我們提供的服務所產生的糾紛由仲裁解決， 包括但不局限於： （a）與我們或通過我們為您所執行的任何一種交易； 或（b）有關此合約及您和我們之間的其它任何合約的履行，制定或違犯。如果在一個任何仲裁糾紛發生時，您不是美國的居民，您同意任何仲裁聽審將會在密蘇里州的聖路易斯舉行，您認可所有位于密蘇里州的法庭的個人管轄權來強制執行這個仲裁協議或任何仲裁決議；您還同意所有仲裁程序將以英語進行。如果任何一方無效地抵制在此協議下提出的仲裁決議的確認和執行，那?所有的開支，律師費用以及由另一方在確認或執行此決議時所產生的費用將全部向抵制決議的確認或執行的一方徵收並由其支付。

任何人均不得將一項可能被法院受理的或已被法院受理的集體訴訟提交仲裁，也不得對任何已認定向法院提交集體訴訟的人員或已是集體訴訟中的一員試圖強制履行糾紛前的任何仲裁合約，下列三種情形例外：（a）法院拒絕受理該集體訴訟或（b）該集體訴訟的法院受理被取消或（c）法院已將客戶排除在該集體訴訟之外. 除於此聲明的範圍外，放棄以仲裁方式解決合約糾紛的行為並不意味放棄本合約內的任何權利。

11. I have examined the entire Options Application and confirm to Scottrade and its agents the accuracy of all information contained thereon, especially those items concerning my income, net worth and investment objectives. If there is any change in my investment objectives or financial condition or other circumstances arise which may affect my ability to engage in options transactions, I will promptly advise Scottrade in writing.

11．本人已審閱了全部期權申請並向史考特和其代理人確認其中所含資訊的準確性，尤其是那些有關本人收入、淨值和投資目標等內容。若本人的投資目標或財務狀況有任何改變，或出現了有可能令我不再適合從事期權交易的其它情況，本人將立即以書面形式告知史考特。

12. I have executed Scottrade's Brokerage Account Application and Agreement, and that agreement and the terms and conditions therein are incorporated in this Agreement by reference. I hereby acknowledge possession and retention of a copy of this Agreement.

12．本人已簽署史考特經紀帳戶申請表和合約，該合約及其條款經此處提及後被融入本合約。我本人特此承認已擁有和保存本合約影印本一份。

13. I request that Scottrade or its agents establish and maintain an options account for the purpose of trading options contracts. By signing this Agreement, I hereby confirm that I understand and agree to the terms and provisions on this form.

13． 我要求史考特或其代理人設立並維護期權帳戶用於交易期權合約。經簽署此合約，我特此確認我理解並同意在這個表格上的條件和規定。

14. I agree that any data or online reports are provided to me without any warranties of any kind, express or implied, including but not limited to implied warranties of merchantability, fitness for a particular purpose or non-infringement. I acknowledge that the information contained in any reports provided by Scottrade or its agents is obtained from sources believed to be reliable but is not guaranteed as to its accuracy or completeness. Such information could include technical or other inaccuracies, errors or omissions. In no event shall Scottrade or any of its agents be liable to me or any third party for the accuracy, timeliness or completeness of any information made available to me, or for any decision I make or action I take in reliance on such information. In no event shall Scottrade, its affiliates or their respective entities be liable for any special, incidental, indirect or consequential damages whatsoever, including but not limited to any lost profits, whether or not advised of the possibility of such damages, or any damages for delayed data.

14.我同意任何給我提供的數據和網路報告沒有任何明示和暗示的保證，包括並不局限于隱含的適銷性，針對特定用途的適用型或不侵權性。我承認由史考特或其代理人提供的報告中的任何訊息都是來自可靠的來源，但是不保證其準確性和完整性。這種訊息可能包括技術和其它的不準確性、錯誤和遺漏。在任何情況下，史考特或其任何代理人都不會因為給我提供訊息的準確性、及時性或完整性， 或我依賴這樣的訊息而做出的決定和行動對我或其它任何第三方負有責任。在任何情況下，史考特，其附屬公司或他們各自的實體都不對任何特殊的、偶然的、或者間接或相應的任何損失，包括但不局限于利潤損失、是否有被通知這種損害的可能性、或任何由數據延遲所造成的損失承擔責任。

15. I agree that I may not amend or assign this Agreement without the express written consent of Scottrade. This Agreement will inure to the benefit of my successors and permitted assigns. If any provision of this Agreement is held to be unenforceable, it shall not affect any other provisions of this Agreement. I agree and acknowledge that neither Scottrade nor any of its agents shall be liable for losses caused directly or indirectly by any events beyond their reasonable control, including without limitation, government restrictions, exchange or market rulings, suspension of trading or unusually heavy trading in any security, war, strikes, or a general change in economic, political or financial conditions.

15．我同意如果沒有史考特書面的許可，我不可以修訂或轉讓此合約。這個合約將對我繼承者的利益適用並允許轉讓。如果這個合約中的任何規定無法執行，它將不影響合約中的其它規定。我同意並承認史考特或其任何代理人將不對他們無法直接或間接控制的事件造成的損失負責，無限制包括，政府限制、證交所或市場裁決、交易暫停或任何證券的交易量異常之大、戰爭、罷工、或者經濟、政治或金融狀況的大體改變。

16. I understand that options are risky and I will limit my financial commitment to an amount that I can afford to lose.

16.我明白期權交易風險大且我會將我的財產損失局限在我可以承受的範圍內。

17. I understand that Scottrade will make no recommendations and I agree not to hold Scottrade or its agents responsible for the suitability of trades or any subsequent losses in my account. The execution of any trades by Scottrade or its agents will not be deemed to be an approval of such trades.

17．我明白史考特將不提供建議且我同意不讓史考特或其代理人為我帳戶中交易是否適合或任何由此造成的損失負責。由史考特或其代理人執行的交易將不能認?是批准這類交易。

18. I am responsible for reviewing and monitoring all activities in my account, and I understand that neither Scottrade nor its agents are required to monitor such activities for me.

18. 我有責任查看和監視我帳戶中的所有活動，我而且明白史考特或其代理人都沒有比要為我監視這些活動。

19. Unless I receive prior authorization from Scottrade, I shall not place trades that are not permissible under the option level for which I am approved. If any option position in my account becomes uncovered, Scottrade may, without prior notice, take immediate action to cover my position, and I shall be responsible for any resulting losses.

19. 除非我之前有收到史考特的許可，我不應設置在我被批准的期權等級內不允許做的訂單。如果在我的帳戶中任何期權庫存變成非持保（uncovered）,史考特可能不提前通知就採取措施補回庫存，由此造成的損失應由我來承擔。

20. I am responsible for knowing the deliverable(s) prior to engaging in an option transaction, as well as any changes in the deliverables while maintaining positions in my account. Possible sources for this information include: 1-888-OPTIONS, OptionsEducation.org, OptionsClearing.com and Scottrade's trading Web site.

20. 我有責任在進行任何期權交易之前了解期權的交付性以及在我的帳戶中持有的期權庫存交付性的任何變化。可去以下網站獲得相關訊息：1-888-OPTIONS, OptionsEducation.org, OptionsClearing.com 以及史考特交易網站。

21. I understand that custodial accounts and qualified retirement plans (excluding IRAs) are limited to covered call writing.

21．我明白監管人帳戶或合格退休計劃(不包括個人退休帳戶)只准許出售持保買權。

22. If this account is being opened on behalf of a corporation, partnership, investment club, retirement plan, trust, LLC or any other type of entity in which I have or have been granted control, authority, trusteeship, agency or fiduciary responsibility, I hereby warrant and verify that the entity is permitted to engage in options transactions and that I have been granted the authority on behalf of the entity to enter into this Agreement.

22. 如果此帳戶是以公司，合夥人，投資俱樂部，退休計劃，信托，有限責任公司或任何其他的實體的名義開設，我被授予控制，全權，託管人職責，代理或受託人的責任; 我在此保證並確認此實體被允許進行期權交易而且我已被授予權利，以此實體的名義簽署這個合約。

23. If I am unable to engage in closing transactions because there was no prevailing bid or offers in the secondary market, I am obligated to the open position held in my account until expiration or assignment.

23.如果由於在二級市場沒有買方出價使我不能進行平倉交易，在到期或指派前我對帳戶中持有的庫存負有責任。

24. If an investment advisor manages my account, I understand that Scottrade or its agents may rely on the advisor's investment experience in conjunction with my qualifying information when determining my eligibility to trade options. My options trading may be limited to closing transactions if I sever the professional relationship with my advisor. If that occurs, I must re-apply for options approval to maintain options trading privileges in my account.

24. 如果我的帳戶由投資顧問管理，我明白史考特或其代理人在決定交易期權時會考慮投資顧問的經驗以及我的符合條件。如果我與我們投資顧問解除專業關係，我的期權交易可能只局限于平倉交易。如果發生這種情況，若要維持我帳戶中的期權交易權利，我必須重新申請期權批准，

25. In order to process options orders, my account must have cleared funds equal to or greater than the purchase price of the options contracts. Notwithstanding the foregoing, I am responsible for all orders, including, without limitation, any orders Scottrade or its agents execute to purchase options in my account even if the account does not contain sufficient cleared funds.

25. 為了處理期權訂單，我的帳戶必須要有等於或大於購買期權合約價格的交割資金。儘管有上述規定，如果帳戶中沒有足夠的交割資金，我對所有的訂單，其中無限制地包括，任何史考特或其代理人在我的帳戶中執行的期權購買負責。

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