Affirmations Disclosures Checklist
| Affirmation Type | Policy | Disclosure | Frequency | RIA | BD |
|---|---|---|---|---|---|
| Code of Ethics | o |  |
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| Communications | o | |
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| Insider Trading and Non-Public Information | o | |
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| Outside Trading Accounts | o | o | |
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| Private Placements | o | o | |
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| Personal Trading Transactions | o | o | |
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| Personal Trading Holdings | o | o | |
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| Outside Business Activity | o | o | |
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| Directorships | o | o | |
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| Gifts and Entertainment | o | o | |
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| Political Contributions | o | o | |
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| Criminal Activity | o | o | |
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| Personal Contact Information | o | |
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| FINRA Disclosures | o | o | |
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| Dual Registration | o | o | |
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| AML | o | |
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| Registered Rep Lending | o | o | |
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| Reportable Events | o | o | |
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| Annual Compliance Meeting Attendance | o | |
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| Business specific policies and procedures | o | o | |
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| Changes to policies and procedures | o | o | |
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