Receipt and Acknowledgement of The Leaders Group, Inc. Compliance Manual
I have received and read The Leaders Group, Inc. Compliance Manual. I agree to abide by the rules and policies set forth therein. In the absence of any specific rule stated herein, I will abide by the FINRA, SEC, and other self-regulatory agency rules and regulations. I will abide by the firm’s code of ethics.
I understand that Selling Away is prohibited. I also understand that I am required to provide written notice to The Leaders Group, Inc. and receive prior written approval by The Leaders Group, Inc. before participating in any private securities transactions. (Including transactions for my personal account at other Broker/Dealers, transactions involving accounts which I have control over, or selling a security on behalf of another party). I am further required to provide written notice of all outside business activities.
