Ex. H (Legal Proceedings) Mockup
THIS DOCUMENT IS A TECHNICAL ILLUSTRATION OF HOW CERTAIN DISCLOSURES IN SEC FILINGS ARE TO BE TAGGED. IT DOES NOT INDICATE WHICH PARTICULAR DISCLOSURES MUST BE INCLUDED AND/OR TAGGED IN COMMISSION FILINGS, AND IT DOES NOT CONSTITUTE LEGAL GUIDANCE OF ANY SORT.
RIVAL
SEF Patent Litigation – On April 4, 2033,
we instituted patent litigation against RIVAL SEF in
the U.S. Southern District Court of New York. Our
complaint alleges that RIVAL SEF infringed on our patent for special market data dissemination procedures.
We seek injunctive and monetary relief.
FTC
Antitrust Litigation –
On February 2, 2033,
the Federal Trade Commission (“FTC”) initiated a complaint in an FTC in-house administrative court
against one of our affiliates, BIG SEF, and its acquisition target, LITTLE SEF,
for alleged antitrust violations. The FTC’s complaint alleges that BIG SEF’s pending acquisition of LITTLE SEF would violate
antitrust law due to anticompetitive effects on the SBS execution facility market. The
FTC seeks injunctive relief.
Canada
–
On February
14, 2033,
the Ontario
Securities Commission (“OSC”)
served notice it is contemplating
joining the
FTC’s complaint that alleges that BIG SEF’s pending acquisition of LITTLE SEF would violate antitrust law due to anticompetitive
effects on the SBS execution facility market.