Establish, implement, and maintain job applications.
CONTROL ID 16180
CONTROL TYPE Establish/Maintain Documentation
CLASSIFICATION Preventive
SUPPORTING AND SUPPORTED CONTROLS
This Control directly supports the implied Control(s):
Establish job categorization criteria, job recruitment criteria, and promotion criteria., CC ID: 00781
This Control has the following implementation support Control(s):
Include a space for the applicant's name on the job application., CC ID: 16190
Include a space for the applicant's current address on the job application., CC ID: 16189
Include a space for the applicant's social security number on the job application., CC ID: 16188
Include a space for the applicant's date of birth on the job application., CC ID: 16186
Include a space for previous employers and business relationships on the job application., CC ID: 16185
Include a space to explain formal disciplinary actions and sanctions on the job application., CC ID: 16184
Include a space for the start date on the job application., CC ID: 16187
Include a space to explain legal penalties on the job application., CC ID: 16183
Approve the wording of job applications., CC ID: 16182
Include a space for past aliases and other used names on job applications., CC ID: 12301
Include a space for previous addresses and previous residences on the job application., CC ID: 12302
Include a space to explain employment gaps on the job application., CC ID: 12303
SELECTED AUTHORITY DOCUMENTS COMPLIED WITH
A questionnaire or application for employment executed by each associated person as that term is defined in paragraph (g)(4) of this section of the member, broker or dealer, which questionnaire or application must be approved in writing by an authorized representative of the member, broker or dealer… (ยง 240.17a-3 (a)(12)(i), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)
