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Exhibit 3. Policies or procedures adopted and implemented to prevent the misuse of material, nonpublic information. Exhibit 3 is attached and made a part of this Form NR SRO. Note: Capitalized terms
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What is policies or procedures adopted?
Policies or procedures adopted are guidelines established by an organization to outline how certain processes should be carried out.
Who is required to file policies or procedures adopted?
The organization or entity responsible for implementing the policies or procedures is required to file them.
How to fill out policies or procedures adopted?
Policies or procedures can be filled out by detailing the specific steps or guidelines that need to be followed in a clear and concise manner.
What is the purpose of policies or procedures adopted?
The purpose of policies or procedures adopted is to ensure consistency, compliance, and efficiency in the organization's operations.
What information must be reported on policies or procedures adopted?
The information reported on policies or procedures adopted should include the purpose, scope, responsibilities, and any specific steps or guidelines to be followed.
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