ANNEXS Website Privacy Policy

ANNEXS has created this security and privacy statement in order to demonstrate and communicate its commitment to the privacy of the users of ANNEXS's websites and to conducting business with the highest ethical standards and appropriate internal controls. The following discloses ANNEXS's information gathering and dissemination policies for the ANNEXS website:

Collection and Dissemination of Personal Information

ANNEXS uses a third party web analytics service to gather site usage information for the purpose of improving user experience. As part of this web analytics activity, ANNEXS places cookies on users' computers. Additionally, for specific sites or applications, ANNEXS may use web analytics to confirm compliance with the terms of use of those sites or applications. ANNEXS and its vendors may also place cookies on users' computers to enable certain site features such as the Market Data Watchlist, Fund Analyzer Favorites and BrokerCheck searches. Users who opt out of cookies by changing the setting of their browsers will not be able to take advantage of these and other site features.

ANNEXS's websites may receive and maintain information such as user name, email address, telephone number and other personal information only when such information is personally submitted by users through an optional request form such as the request for more information form or the ANNEXS survey form. These forms and the information provided within the forms allow users to make specific inquiries or requests of ANNEXS or provide ANNEXS with feedback on its websites or services. Information gathered via this site is not shared with third parties unless the involved individual requests such sharing or unless disclosure is required by law. ANNEXS does not sell personal information to third parties for commercial purposes.

ANNEXS reserves the right to disclose user information in special circumstances, where ANNEXS believes that the disclosure of such information is necessary to identify or contact someone who may be interfering with or violating ANNEXS's rights or property or other users or to protect or enforce ANNEXS's rights or obligations. ANNEXS may also disclose user information when such disclosure is required by law or regulation.

Third Party Links

ANNEXS websites may contain links to other sites, some of which are not owned by ANNEXS. ANNEXS is not responsible for the security or privacy practices of non-ANNEXS sites, the products or services offered by such sites, or the content appearing at such sites. Likewise, ANNEXS does not endorse any of the products or services marketed at non-ANNEXS sites.

ANNEXS prohibits the framing of any materials available through the ANNEXS websites and unauthorized hypertext links to ANNEXS's websites. ANNEXS reserves the right to disconnect or otherwise disable any unauthorized frames or hypertext links.

Regulatory Policy

Certain ANNEXS websites, such as Web CRD/IARD E-Pay, require an authorized user (ANNEXS Members or ANNEXS Member Firms) to input personal information in order to fulfill a regulatory requirement. ANNEXS shall use such information consistent with its regulatory mission and its role as a member association. Such personal information may be made public or shared with third parties, consistent with ANNEXS's role as a self-regulatory organization.

Information Security

ANNEXS websites are protected with a variety of security measures such as change control procedures, passwords, and physical access controls. ANNEXS also employs a variety of other mechanisms to protect a user's data from being lost, misused, or altered inappropriately. These controls include data confidentiality policies and regular database backups. Although ANNEXS takes these measures to safeguard against unauthorized use of a user's data, ANNEXS cannot control Internet transmissions and cannot provide assurances that personal information transmitted to ANNEXS will never be compromised.

Policy Changes

ANNEXS reserves the right to modify or update this Privacy Policy or other terms and conditions of use of the ANNEXS websites at any time by updating the relevant link. Any modifications or updates shall be effective upon posting to the ANNEXS website(s).

Contact Information

ANNEXS
Attn: Privacy Policy - OGC
1735 K Street
Washington, D.C. 20006

This Privacy Policy was last updated in June 2012.