§ 55.4. Reliance on documents

 (a)  Reliance on manual. A registrant’s establishment and maintenance of records, as well as the filing of quarterly expense reports based on those records, in accordance with any manual or interim guidelines adopted by the Committee shall serve as evidence of the registrant’s good faith effort to comply with the act during the time when the manual or guidelines are in effect.

 (b)  Reliance on instructions for forms. A registrant’s completion of registration statements and quarterly expense reports in accordance with instructions published by the Department shall serve as evidence of the registrant’s good faith effort to comply with the act during the time when the instructions are in effect.

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