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Federal Register / Vol. 86, No. 226 / Monday, November 29, 2021 / Notices whose performance is being evaluated by the Plan.
iv All recusals, including a persons determination of whether to voluntarily recuse himself or herself, shall be reflected in the meeting minutes.

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Required Disclosures for the CQ Plan As part of the disclosure regime, the Participants, the Processors, the Administrators, members of the Advisory Committee, and service providers and subcontractors must respond to questions that are tailored to elicit responses that disclose the potential conflicts of interest.
The Participants must respond to the following questions and instructions:
Is the Participants firm for profit or not-for-profit? If the Participants firm is for profit, is it publicly or privately owned? If privately owned, list any owner with an interest of 5% or more of the Participant, where to the Participants knowledge, such owner, or any affiliate controlling, controlled by, or under common control with the owner, subscribes, directly or through a thirdparty vendor, to SIP and/or exchange Proprietary Market Data products.
Does the Participant firm offer realtime proprietary equity market data that is filed with the SEC Proprietary Market Data? If yes, list each product, describe its content, and provide a link to where fees for each product are disclosed.
Provide the names of the representative and any alternative representatives designated by the Participant who are authorized under the Plans to vote on behalf of the Participant. Also provide a narrative description of the representatives roles within the Participant organization, including the title of each individual as well as any direct responsibilities related to the development, dissemination, sales, or marketing of the Participants Proprietary Market Data, and the nature of those responsibilities sufficient for the public to identify the nature of any potential conflict of interest that could be perceived by a reasonable objective observer as having an effect on the Plan. If the representative works in or with the Participants Proprietary Market Data business, describe the representatives roles and describe how that business and the representatives Plan responsibilities impacts his or her compensation. In addition, describe how a representatives responsibilities with the Proprietary Market Data business may present a conflict of
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interest with his or her responsibilities to the Plan.
Does the Participant, its representative, or its alternative representative, or any affiliate have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with their responsibilities to the Plan? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Plan.
The Processors must respond to the following questions and instructions:
Is the Processor an affiliate of or affiliated with any Participant? If yes, disclose the Participants and describe the nature of the affiliation. Include an entity-level organizational chart depicting the Processor and its affiliates.
Provide a narrative description of the functions directly performed by senior staff, the manager employed by the Processor to provide Processor services to the Plans, and the staff that reports to that manager collectively, the Plan Processor.
Does the Plan Processor provide any services for any Participants Proprietary Market Data products or other Plans? If Yes, disclose the services the Plan Processor performs and identify which Plans. Does the Plan Processor have any profit or loss responsibility for a Participants Proprietary Market Data products or any other professional involvement with persons the Processor knows are engaged in the Participants Proprietary Market Data business? If so, describe.
List the policies and procedures established to safeguard confidential Plan information that is applicable to the Plan Processor.
Does the Processor, or its representatives, have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with the representatives responsibilities to the Plan? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Plan.
The Administrators must respond to the following questions and instructions:
Is the Administrator an affiliate of or affiliated with any Participant? If yes, disclose the Participants and describe the nature of the affiliation. Include an entity-level organizational chart depicting the Administrator and its affiliates.

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Provide a narrative description of the functions directly performed by senior staff, the administrative services manager, and the staff that reports to that manager collectively, the Plan Administrator.
Does the Plan Administrator provide any services for any Participants Proprietary Market Data products? If yes, what services? Does the Plan Administrator have any profit or loss responsibility, or licensing responsibility, for a Participants Proprietary Market Data products or any other professional involvement with persons the Administrator knows are engaged in the Participants Proprietary Market Data business? If so, describe.
List the policies and procedures established to safeguard confidential Plan information that is applicable to the Plan Administrator.
Does the Administrator, or its representatives, have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with the representatives responsibilities to the Plan? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Plan.
The Members of the Advisory Committee must respond to the following questions and instructions:
Provide the Advisors title and a brief description of the Advisors role within the firm.
Does the Advisor have responsibilities related to the firms use or procurement of market data?
Does the Advisor have responsibilities related to the firms trading or brokerage services?
Does the Advisors firm use the SIP?
Does the Advisors firm use exchange Proprietary Market Data products?
Does the Advisors firm have an ownership interest of 5% or more in one or more Participants? If yes, list the Participants.
Does the Advisor actively participate in any litigation against the Plans?
Does the Advisor or the Advisors firm have additional relationships or material economic interests that could be perceived by a reasonable objective observer to present a potential conflict of interest with their responsibilities to the Plan? If so, provide a detailed narrative discussion of all material facts necessary to identify the potential conflicts of interest and the effects they may have on the Plan.
Pursuant to Section IVe1 of the Plan, each service provider or
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