Common use of APPLICABLE RULES & REGULATIONS Clause in Contracts

APPLICABLE RULES & REGULATIONS. All transactions in your Account are subject to the rules, customs and usages of the exchanges, markets or clearing houses where the transactions are executed and to all applicable federal and state laws and regulations. The Financial Industry Regulatory Authority (FINRA) requires that we provide the following information concerning its BrokerCheck program. An investor brochure that includes information describing FINRA BrokerCheck may be obtained from FINRA. The FINRA BrokerCheck hotline number is (000) 000-0000. The FINRA website address is xxx.xxxxx.xxx. Any complaints regarding the handling of your account may be directed to your financial advisor and/or to LPL Financial at 000-000-0000.

APPLICABLE RULES & REGULATIONS. All transactions in your Account are subject to the rules, customs and usages of the exchanges, markets or clearing houses where the transactions are executed and to all applicable federal and state laws and regulations. The Financial Industry Regulatory Authority (FINRA) requires that we provide the following information concerning its BrokerCheck program. An investor brochure that includes information describing FINRA BrokerCheck may be obtained from FINRA. The FINRA BrokerCheck hotline number is (000) 000-0000. The FINRA website address is xxx.xxxxx.xxx. Any complaints regarding the handling of your account may be directed to your financial advisor and/or to LPL Financial at 000800-000-0000558- 7567.