© 2008 Financial Industry Regulatory Authority, Inc. All rights reserved.

The Manual is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of the Manual on Complinet. Any advice or commentary given by Complinet about the Manual is the sole responsibility of the publisher and does not reflect the views of FINRA. FINRA reserves the right to amend the Manual at its discretion.