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Approve the wording of job applications.


CONTROL ID
16182
CONTROL TYPE
Human Resources Management
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain job applications., CC ID: 16180

There are no implementation support Controls.


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)