Common use of BUSINESS PRACTICES & COMPLIANCE Clause in Contracts

BUSINESS PRACTICES & COMPLIANCE. A. LAWS, RULES & REGULATIONS. The sale of securities is a highly regulated business. Representative, the Company and its registered representatives must refrain from any action that would result in violation, by Representative, the Company or any registered representative, of any applicable law, rule or regulation. As part of the proper performance of Representative’s duties, at all times during this Agreement, Representative shall comply with all applicable laws and rules including the FINRA Rules, Municipal Securities Rulemaking Board Rules, the statutes, regulations, rules and statements of policy promulgated and administered by the Securities and Exchange Commission, any state or municipal governmental or regulatory agency and the rules of any national or regional securities exchange in which the Company is or becomes a member. B. COMPANY RULES & POLICIES. Representative agrees to comply with the Company’s rules, regulations, policies, practices, procedures and instructions as amended from time to time by the Company, including but not limited to information sharing practices and procedures for safeguarding information.