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Captures general information, checks for changes to outside business activities, review of CRD and Form U4, disclosure of private securities transactions and personal securities accounts, and attestation of accurate, complete reporting. 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GENERAL INFORMATION  \n1. Reporting RR's Name:   2. RR's Branch Code:    \n3. RR's Branch Location:    \n4. RR's Supervisor's Name:    \n5. Business Type (check one): Investment Banking Securities/Investment Advisory  \nHome Office/Other (Specify):    \nB.  \n1.  \n2.  \n3.  \n4.  \nRR'S PERSONAL & RELATED CONDUCT  \nDuring the reporting period, have you made any changes to your outside business activities? If yes, have you notified and received pre-approval from your Supervisor and the Home Office?  \nHave you checked your CRD to ensure that such changes have been reflected accurately? During the reporting period, have you participated in any private securities transactions?  \nIf yes, have your received written approval from your Supervisor and the Home Office prior to your participation in such activities?  \nHave you provided all information related to the transaction(s) as required?  \nHave you or your family opened any new personal securities account(s) during the reporting period?  \nIf yes, have you notified your Supervisor and the firm's Compliance Department?  \nIf opened with a broker-dealer other than the firm, have you received a copy of a (a/k/a 407 letter) sent to the executing broker-dealer?  \nHave you reviewed your Form U4 to ensure that your information, including but not limited to disclosure events, is current and complete?  \nYes  \nYes  \nYes  \nYes  \nYes  \nYes  \nYes  \nYes  \nYes  \nN/A  \nYes  \nNo  \nNo  \nNo  \nNo  \nNo  \nNo  \nNo  \nNo  \nNo  \nNo  \nC. RR'S BUSINESS CONDUCT  \n1. Check ALL electronic media you used for communications with any customers, prospective customers and/or the public regarding activities referring to, involving and/or related to Trustmont.  \nInstant Messaging Text Messaging Chat Rooms Blogs Social Networking or Message Board Email with other than Trustmont approved email address (emailaddress):   Other:  \nI have not used any electronic communications and/or other media other than my Trustmont-approved email address.  \n2. Have you submitted all outgoing correspondence to your Supervisor for review and/or approval? Yes No (if Yes attach an \"Outgoing Correspondence Log\")  \nOR   (initial) Check and initial if you have not sent any correspondence during the reporting period.  \n3. Have you submitted all incoming correspondence received during the reporting period to your Yes No Supervisor for review and/or approval? (if Yes attach an \"Incoming Correspondence Log\")  \nOR   (initial) Check and initial if you have not received any correspondence during the reporting period.  \n4. If and to the extent applicable for this month, provide a copy of the following blotters, logs and all documents associated with each log or blotter to your Supervisor.  \nSecurities Received Blotter  Gifts and Gratuities Log  \nI have attached the blotter with this form. I have submitted my quarterly log.  \nI do not have anything to report for this period.  \nChecks Log   Cash and Non-Cash Compensation Log  \nI have submitted the monthly checks log. I have submitted my quarterly log.  \nDirect Business Blotter  \n I have submitted my quarterly log.  \nD. RR'S CUSTOMER ACCOUNTS AND ACTIVITIES  \n1. During the reporting period, have you opened any new accounts for any customer(s)? Yes No  \n\n| Customer Name | Acct Type | Custodian | Product Type | Investment $ |\n| --- | --- | --- | --- | --- |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n|  |  |  |  |  |\n\n2.  \n3.  \nDuring the reporting period, did you make any recommendations to any customer(s) of particular securities, investments or investment strategies which were not involved in or resulted in a securities transaction?  \n􀂅 If Yes, did you complete a \"Recommended Ticket without Securities Transactions\" for","cbCaigSeilads0OY","https://ap.wps.com/l/cbCaigSeilads0OY","pdf",763722,"English","# A. General Information\n## RR's Personal & Related Conduct\n# C. RR's Business Conduct\n# D. RR's Customer Accounts and Activities\n# E. Certification","[{\"question\":\"Who must complete and submit the Registered Representative's Quarterly Checklist, and to whom?\",\"answer\":\"Each Registered Representative associated with Trustmont Financial Group must complete and submit the form to his or her Supervisor quarterly.\"},{\"question\":\"What compliance items must be reviewed during the reporting period regarding outside business activities and CRD/Form U4?\",\"answer\":\"The RR must indicate whether outside business activities changed and whether pre-approval was obtained, ensure CRD reflects such changes accurately, and review Form U4 so information (including disclosure events) is current and complete.\"},{\"question\":\"What business conduct and communications requirements are included in the checklist?\",\"answer\":\"The RR must list all electronic media used for customer/public communications, confirm outgoing and incoming correspondence review/approval by the Supervisor (with correspondence logs when applicable), and provide applicable copies of blotters and logs tied to activity.\"}]","Registered Representative's Quarterly Checklist - Reporting Form | PDF",1789508483]