finra

Legal Notices

 

Copyright Notices


The works of authorship contained in finra.org (the Site), including but not limited to all design, text, sound recordings, and images are owned, except as otherwise expressly stated, by Financial Industry Regulatory Authority, Inc. (FINRA) or one of its affiliates, including FINRA Regulation, Inc., and FINRA Dispute Resolution, Inc., and may not be copied, reproduced, transmitted, displayed, performed, distributed, rented, sublicensed, uploaded, posted, framed, altered, stored for subsequent use or otherwise used in whole or in part in any manner without FINRA's prior written consent, except to the extent that such use constitutes "fair use" under the Copyright Act of 1976 (17 U.S.C. § 107), as amended, and then, only with notices of FINRA's proprietary rights.  Additionally, the viewer may keep one temporary copy in a single computer's memory and one unaltered permanent copy to be used by the viewer for personal and non-commercial use.

You may link to this Site, provided that (a) the appearance, position and other aspects of the link do not damage or dilute the goodwill associated with FINRA's name and trademarks, (b) the link and/or website that is being linked does not violate FINRA's or any third party’s intellectual property rights, (c) no aspect of the link, including the appearance and position of the link, may create the appearance that an entity is associated with or sponsored by FINRA when association or sponsorship does not exist, (d) the link, when activated by a user, must display the Site web page in its entirety and not within a "frame" on the linked website, and (e) FINRA reserves the right to revoke its consent to the link at any time in its sole discretion.

 

Learn more and contact us for permission to use FINRA-copyrighted materials.

 

FINRA DMCA Policy

 



Trademark/Service Mark Notices

The following is a list of trademarks of Financial Industry Regulatory Authority, Inc. (FINRA Marks). This list may be updated at any time without notice.

ADF®
Agency Debt Trade Dissemination ServiceTM
ATDSTM
Bond Trade Dissemination ServiceTM
BrokerCheck®
BTDSTM
Certified Regulatory and Compliance ProfessionalTM
CRCPTM
CRD®
eFOCUSTM
Financial Industry Regulatory Authority®
FINRA®
FINRA ADDS®
FINRA Automated Data Delivery System®
FINRA Firm Gateway®
FINRA Investor Education Foundation®
IARDTM
INSITETM
Investor Protection. Market Integrity.SM
NASD®
OATSTM
OMDFSM
ORFTM
OTC Bulletin Board®
OTC Montage Data FacilitySM
OTC Reporting FacilityTM
OTCBB®
PROCTOR®
Retirement Made SimplerTM
Securitized Products Dissemination ServiceTM
SPDSTM
TRACE®
Trade Reporting and Compliance Engine®
Trade Reporting and Quotation Service®
Trade Reporting Facility®
TRAQSTM
TRF®
Web EFTTM

 

The FINRA Marks are trademarks or registered trademarks of Financial Industry Regulatory Authority, Inc., in the U.S. and/or other countries. All Rights Reserved. All other trademarks used on this site are property of their respective owners.

 

The absence of a name, logo, or other mark on this list does not constitute a waiver of any and all intellectual property rights that Financial Industry Regulatory Authority, Inc. has established in any of its products, services, programs, features, service marks, service names, or logos.

 

Third parties may not use FINRA Marks in any manner which suggests or hints at affiliation with, sponsorship of or endorsement by, FINRA without prior written permission which allows for and specifies the marks and type of use.

 



Disclaimer

FINRA, its affiliates and third party providers are not responsible for any errors or omissions in the information contained on or accessed through this Site. All such information in this Site is provided "as is". Likewise, FINRA is not responsible for any errors or omissions in the information, or any products or services, contained on, offered, accessed, or received through any third party site which either may be accessed through a link on this Site, or which allowed you to access this Site through a link on such third party site. FINRA, its affiliates and third party providers make no warranties or representations and disclaim all express, implied and statutory warranties of any kind to the user and any third party, including, but not limited to, any warranties of accuracy, timeliness, completeness, merchantability, non-infringement and fitness for any particular purpose.

Except for claims that cannot be excluded by the applicable local law, FINRA, its affiliates and third party providers shall not have any liability, including but not limited to, tort, contract or any other liability to user or any third party arising as a result of use of or access to this Site.

FINRA, its affiliates or third party providers shall not be liable to user or any third party for lost profits or lost opportunity, direct, indirect, special, consequential, incidental or punitive damages whatsoever, even if FINRA, its affiliates or third party providers have been advised of the possibility of such damages.

Some jurisdictions do not allow for the exclusion or limitation of implied warranties or liability for incidental or consequential damages. Therefore, the above limitations may not apply to you, or there may be applicable laws which supersede the above. Any clause of this disclaimer declared invalid by the appropriate authority in each jurisdiction shall be deemed severable and shall not affect the validity or enforceability of the remainder of this disclaimer. The terms of this disclaimer are governed by the laws of the State of New York. FINRA reserves the right to amend the document at its discretion at any time without notice.