Employee Conduct and Reportable Events

In this section

• Statutory Disqualification
  Study the disqualifying events that can bar or limit participation in the securities industry.
• Outside Business Activities
  Understand the disclosure and supervision issues tied to outside business activities.
• Political Contributions and Pay-to-Play Rules
  Review pay-to-play restrictions and political contribution rules in the securities industry.
• Gifts, Gratuities, and Non-Cash Compensation
  Study the limits on gifts, gratuities, and non-cash compensation arrangements.
• Complaint Handling and Reporting Requirements
  Review how firms classify, document, escalate, and report customer complaints.