Common use of Access to Service Clause in Contracts

Access to Service. (a) Access to the Service, which, depending on the method of access selected by Participant, may require Participant to enter into agreements outside of this Agreement with third parties, may be accomplished through the World Wide Web, a third party Service Bureau or Executing Broker or a computer-to-computer connection. In order to access the Service, Participant must complete and sign the designation of Security Administrators in Section 7(b) of this Agreement. In the event Participant, or any Service bureau or Executing Broker on behalf of Participant, accesses any Product provided through the Service, Participant agrees to the terms and conditions regarding that Product contained in this Agreement. Participant may only obtain access the Service through an Authorized Device or Authorized Devices. Said specifications and requirements are available from FINRA upon request and may be modified from time to time by FINRA in its sole discretion on at least ninety (90) days notice (if other than a routine or minor change) unless (a) a malfunction in the Service necessitates modifications on an accelerated basis; (b) an emergency situation precludes such advance notice; or (c) a shorter time period is required pursuant to an Order of a court, an arbitrator(s), or a regulatory agency. Participant shall report to FINRA, as requested by FINRA, the information required to be supplied by Participant in FINRA's specifications and FINRA Rules. At reasonable times and upon reasonable notice from FINRA, Participant will grant to FINRA or its representatives free access to the Authorized Devices and, at any time, Participant will grant to FINRA or its representatives free access to the areas where the Service is received and used. Said access shall be for the purposes of inspection, audit, testing or replacement of any software provided by FINRA. FINRA shall comply with Participant's reasonable security regulations in conducting such audits, inspection or testing or replacement under this section. Participant shall comply with all reasonable security specifications or requirements of FINRA in order to prevent the Authorized Devices and Service from being improperly used or accessed or the information and data from being improperly taken from any of Participant's places of business. FINRA shall give Participant prior written notice of any such specifications or requirements. For the purpose of determining compliance with this Agreement, at any time, FINRA and its representatives shall have access to the places where the Service is received and used, where the Authorized Devices are placed, and the right to observe the use made of the Service and the Authorized Devices, and to examine and inspect all instruments and apparatus, including Authorized Devices, used in connection therewith. Information related to the Authorized Devices that Participant gives to FINRA shall be treated as Confidential Information.

Access to Service. (a) Access to the Service, which, depending on the method of access selected by Participant, may require Participant to enter into agreements outside of this Agreement with third parties, may be accomplished through the World Wide Web, a third party Service Bureau or Executing Broker or a computer-to-computer connection. In order to access the Service, Participant must complete and sign the designation of designate its Security Administrators in Section 7(b) of this Agreementand provide other contract, billing and entitlement information via FINRA’s Entitlement Program. In the event Participant, or any Service bureau Bureau or Executing Broker on behalf of Participant, accesses any Product provided through the Service, Participant agrees to the terms and conditions regarding that Product contained in this Agreement. Participant may only obtain access the Service through an Authorized Device or Authorized Devices. Said specifications and requirements are available from FINRA upon request and may be modified from time to time by FINRA in its sole discretion on at least ninety (90) days notice (if other than a routine or minor change) unless (a) a malfunction in the Service necessitates modifications on an accelerated basis; (b) an emergency situation precludes such advance notice; or (c) a shorter time period is required pursuant to an Order of a court, an arbitrator(s), or a regulatory agency. Participant shall report to FINRA, as requested by FINRA, the information required to be supplied by Participant in FINRA's specifications and FINRA Rules. At reasonable times and upon reasonable notice from FINRA, Participant will grant to FINRA or its representatives free access to the Authorized Devices and, at any time, Participant will grant to FINRA or its representatives free access to the areas where the Service is received and used. Said access shall be for the purposes of inspection, audit, testing or replacement of any software provided by FINRA. FINRA shall comply with Participant's reasonable security regulations in conducting such audits, inspection or testing or replacement under this section. Participant shall comply with all reasonable security specifications or requirements of FINRA in order to prevent the Authorized Devices and Service from being improperly used or accessed or the information and data from being improperly taken from any of Participant's places of business. FINRA shall give Participant prior written notice of any such specifications or requirements. For the purpose of determining compliance with this Agreement, at any time, FINRA and its representatives shall have access to the places where the Service is received and used, where the Authorized Devices are placed, and the right to observe the use made of the Service and the Authorized Devices, and to examine and inspect all instruments and apparatus, including Authorized Devices, used in connection therewith. Information related to the Authorized Devices that Participant gives to FINRA shall be treated as Confidential Information.

Access to Service. (a) Access to the Service, which, depending on the method of access selected by Participant, may require Participant to enter into agreements outside of this Agreement with third parties, may be accomplished through the World Wide Web, a third party Service Bureau or Executing Broker or a computer-to-computer connection. In order to access the Service, Participant must complete and sign the designation of Security Administrators in Section 7(b) of this Agreement. In the event Participant, or any Service bureau or Executing Broker on behalf of Participant, accesses any Product provided through the Service, Participant agrees to the terms and conditions regarding that Product contained in this Agreement. Participant may only obtain access the Service through an Authorized Device or Authorized Devices. Said specifications and requirements are available from FINRA upon request and may be modified from time to time by FINRA in its sole discretion on at least ninety (90) days notice (if other than a routine or minor change) unless (a) a malfunction in the Service necessitates modifications on an accelerated basis; (b) an emergency situation precludes such advance notice; or (c) a shorter time period is required pursuant to an Order of a court, an arbitrator(s), or a regulatory agency. Participant shall report to FINRA, as requested by FINRA, the information required to be supplied by Participant in FINRA's specifications and FINRA Rules. At reasonable times and upon reasonable notice from FINRA, Participant will grant to FINRA or its representatives free access to the Authorized Devices and, at any time, Participant will grant to FINRA or its representatives free access to the areas where the Service is received and used. Said access shall be for the purposes of inspection, audit, testing or replacement of any software provided by FINRA. FINRA shall comply with Participant's reasonable security regulations in conducting such audits, inspection or testing or replacement under this section. Participant shall comply with all reasonable security specifications or requirements of FINRA in order to prevent the Authorized Devices and Service from being improperly used or accessed or the information and data from being improperly taken from any of Participant's places of business. FINRA shall give Participant prior written notice of any such specifications or requirements. For the purpose of determining compliance with this Agreement, at any time, FINRA and its representatives shall have access to the places where the Service is received and used, where the Authorized Devices are placed, and the right to observe the use made of the Service and the Authorized Devices, and to examine and inspect all instruments and apparatus, including Authorized Devices, used in Copyrighted 2011-122013 FINRA. ALLAll rights reserved. FINRA PARTICIPATION AGREEMENT V. v. 1.1 (REV. 0512)2 (Rev. 04-2013) connection therewith. Information related to the Authorized Devices that Participant gives to FINRA shall be treated as Confidential Information.

Access to Service. (a) Access to the Service, which, depending on the method of access selected by Participant, may require Participant to enter into agreements outside of this Agreement with third parties, may be accomplished through the World Wide Web, a third party Service Bureau or Executing Broker or a computer-to-computer connection. In order to access the Service, Participant must complete and sign the designation of designate its Security Administrators in Section 7(b) of this Agreementand provide other contract, billing and entitlement information via FINRA’s Entitlement Program. In the event Participant, or any Service bureau or Executing Broker Bureau on behalf of Participant, accesses any Product provided through the Service, Participant agrees to the terms and conditions regarding that Product contained in this Agreement. Participant may only obtain access the Service through an Authorized Device or Authorized Devices. Said specifications and requirements are available from FINRA upon request and may be modified from time to time by FINRA in its sole discretion on at least ninety (90) days notice (if other than a routine or minor change) unless (a) a malfunction in the Service necessitates modifications on an accelerated basis; (b) an emergency situation precludes such advance notice; or (c) a shorter time period is required pursuant to an Order of a court, an arbitrator(s), or a regulatory agency. Participant shall report to FINRA, as requested by FINRA, the information required to be supplied by Participant in FINRA's specifications and FINRA Rules. At reasonable times and upon reasonable notice from FINRA, Participant will grant to FINRA or its representatives free access to the Authorized Devices and, at any time, Participant will grant to FINRA or its representatives free access to the areas where the Service is received and used. Said access shall be for the purposes of inspection, audit, testing or replacement of any software provided by FINRA. FINRA shall comply with Participant's reasonable security regulations in conducting such audits, inspection or testing or replacement under this section. Participant shall comply with all reasonable security specifications or requirements of FINRA in order to prevent the Authorized Devices and Service from being improperly used or accessed or the information and data from being improperly taken from any of Participant's places of business. FINRA shall give Participant prior written notice of any such specifications or requirements. For the purpose of determining compliance with this Agreement, at any time, FINRA and its representatives shall have access to the places where the Service is received and used, where the Authorized Devices are placed, and the right to observe the use made of the Service and the Authorized Devices, and to examine and inspect all instruments and apparatus, including Authorized Devices, used in connection therewith. Information related to the Authorized Devices that Participant gives to FINRA shall be treated as Confidential Information.

Access to Service. (a) Access to the Service, which, depending on the method of access selected by Participant, may require Participant to enter into agreements outside of this Agreement with third parties, may be accomplished through the World Wide Web, a third party Service Bureau or Executing Broker or a computer-to-computer connection. In order to access the Service, Participant must complete and sign the designation of ofdesignate its Security Administrators in Section 7(b) of this AgreementAgreementand provide other contract, billing and entitlement information via FINRA’s Entitlement Program. In the event Participant, or any Service bureau bureauBureau or Executing Broker on behalf of Participant, accesses any Product provided through the Service, Participant agrees to the terms and conditions regarding that Product contained in this Agreement. Participant may only obtain access the Service through an Authorized Device or Authorized Devices. Said specifications and requirements are available from FINRA upon request and may be modified from time to time by FINRA in its sole discretion on at least ninety (90) days notice (if other than a routine or minor change) unless (a) a malfunction in the Service necessitates modifications on an accelerated basis; (b) an emergency situation precludes such advance notice; or (c) a shorter time period is required pursuant to an Order of a court, an arbitrator(s), or a regulatory agency. Participant shall report to FINRA, as requested by FINRA, the information required to be supplied by Participant in FINRA's specifications and FINRA Rules. At reasonable times and upon reasonable notice from FINRA, Participant will grant to FINRA or its representatives free access to the Authorized Devices and, at any time, Participant will grant to FINRA or its representatives free access to the areas where the Service is received and used. Said access shall be for the purposes of inspection, audit, testing or replacement of any software provided by FINRA. FINRA shall comply with Participant's reasonable security regulations in conducting such audits, inspection or testing or replacement under this section. Participant shall comply with all reasonable security specifications or requirements of FINRA in order to prevent the Authorized Devices and Service from being improperly used or accessed or the information and data from being improperly taken from any of Participant's places of business. FINRA shall give Participant prior written notice of any such specifications or requirements. For the purpose of determining compliance with this Agreement, at any time, FINRA and its representatives shall have access to the places where the Service is received and used, where the Authorized Devices are placed, and the right to observe the use made of the Service and the Authorized Devices, and to examine and inspect all instruments and apparatus, including Authorized Devices, used in connection therewith. Information related to the Authorized Devices that Participant gives to FINRA shall be treated as Confidential Information.