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Include a space to explain formal disciplinary actions and sanctions on the job application.


CONTROL ID
16184
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 record of any denial of membership or registration, and of any disciplinary action taken, or sanction imposed, upon the associated person by any federal or state agency, or by any national securities exchange or national securities association, including any finding that the associated person was … (§ 240.17a-3 (a)(12)(i) (D), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)
  • A record of any denial, suspension, expulsion, or revocation of membership or registration of any member, broker or dealer with which the associated person was associated in any capacity when such action was taken; (§ 240.17a-3 (a)(12)(i) (E), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)
  • A record of any permanent or temporary injunction entered against the associated person, or any member, broker, dealer, security-based swap dealer or major security-based swap participant with which the associated person was associated in any capacity at the time such injunction was entered; (§ 240.17a-3 (a)(12)(i) (F), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)