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Include a space for the applicant's name on the job application.


CONTROL ID
16190
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



  • The associated person's name, address, social security number, and the starting date of the associated person's employment or other association with the member, broker or dealer; (ยง 240.17a-3 (a)(12)(i) (A), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)