3HQDOWLHV IRU YLRODWLQJ WKH 8 6 DQG RWKHU DQWLWUXVW ODZV DUH VHYHUH FRUSRUDWLRQV DUH VXEMHFW WR KHDY\ ILQHV
DQG LQMXQFWLYH GHFUHHV DQG PD\ KDYH WR SD\ VXEVWDQWLDO GDPDJH MXGJPHQWV WR LQMXUHG FRPSHWLWRUV
VXSSOLHUV RU
FXVWRPHUV ,QGLYLGXDOV DUH VXEMHFW WR FULPLQDO SURVHFXWLRQ DQG ZLOO EH SXQLVKHG E\
ILQHV DQG LPSULVRQPHQW
8QGHU FXUUHQW 8 6 IHGHUDO VHQWHQFLQJ JXLGHOLQHV LQGLYLGXDOV IRXQG JXLOW\ RI ELG ULJJLQJ SULFH
IL[LQJ RU PDUNHW DOORFDWLRQ PXVW EH VHQW WR MDLO IRU DW OHDVW WR PRQWKV DQG PXVW SD\
VXEVWDQWLDO PLQLPXP ILQHV
6LQFH WKH LQGLYLGXDO KDV DQ LPSRUWDQW UHVSRQVLELOLW\ LQ HQVXULQJ DQWLWUXVW FRPSOLDQFH LQ $2$&
DFWLYLWLHV HYHU\RQH VKRXOG UHDG DQG KHHG WKH IROORZLQJ JXLGHOLQHV
'RQ W PDNH DQ\ HIIRUW WR EULQJ DERXW RU SUHYHQW WKH VWDQGDUGL]DWLRQ RI DQ\ PHWKRG
RU SURGXFW IRU WKH SXUSRVH RU LQWHQW RI SUHYHQWLQJ WKH PDQXIDFWXUH RU VDOH RI DQ\
PHWKRG RU SURGXFW QRW FRQIRUPLQJ WR D VSHFLILHG VWDQGDUG
'RQ W GLVFXVV ZLWK FRPSHWLWRUV \RXU RZQ RU WKH FRPSHWLWRUV SULFHV RU DQ\WKLQJ
WKDW PLJKW DIIHFW SULFHV VXFK DV FRVWV GLVFRXQWV WHUPV RI VDOH GLVWULEXWLRQ
YROXPH RI SURGXFWLRQ SURILW PDUJLQV WHUULWRULHV RU FXVWRPHUV
'RQ W PDNH DQQRXQFHPHQWV RU VWDWHPHQWV DW $2$& IXQFWLRQV RXWVLGH OHDVHG
H[KLELW VSDFH DERXW \RXU RZQ SULFHV RU WKRVH RI FRPSHWLWRUV
'RQ W GLVFORVH WR RWKHUV DW PHHWLQJV RU RWKHUZLVH DQ\ FRPSHWLWLYHO\ VHQVLWLYH
LQIRUPDWLRQ
'RQ W DWWHPSW WR XVH WKH $VVRFLDWLRQ WR UHVWULFW WKH HFRQRPLF DFWLYLWLHV RI DQ\ ILUP
RU DQ\ LQGLYLGXDO
'RQ W VWD\ DW D PHHWLQJ ZKHUH DQ\ VXFK SULFH RU DQWLBFRPSHWLWLYH WDON RFFXUV
'R FRQGXFW DOO $2$& EXVLQHVV PHHWLQJV LQ DFFRUGDQFH ZLWK $2$& UXOHV 7KHVH
UXOHV UHTXLUH WKDW DQ $2$& VWDII PHPEHU EH SUHVHQW RU DYDLODEOH WKH PHHWLQJ EH
FRQGXFWHG E\ D NQRZOHGJHDEOH FKDLU WKH DJHQGD EH IROORZHG DQG PLQXWHV EH
NHSW
'R FRQIHU ZLWK FRXQVHO EHIRUH UDLVLQJ DQ\ WRSLF RU PDNLQJ DQ\ VWDWHPHQW ZLWK
FRPSHWLWLYH UDPLILFDWLRQV
'R VHQG FRSLHV RI PHHWLQJ PLQXWHV DQG DOO $2$&BUHODWHG FRUUHVSRQGHQFH WR WKH
VWDII PHPEHU LQYROYHG LQ WKH DFWLYLW\
'R DOHUW WKH $2$& VWDII WR DQ\ LQDFFXUDFLHV LQ SURSRVHG RU H[LVWLQJ
PHWKRGV DQG VWDWHPHQWV LVVXHG RU WR EH LVVXHG E\ $2$& DQG WR DQ\ FRQGXFW QRW
LQ FRQIRUPDQFH ZLWK WKHVH JXLGHOLQHV