Personal Trading
The dollar amount beyond which an ETF / ETP transaction needs to be precleared by Compliance.
What is $10,000
All political contributions or activities require this from Compliance.
What is “pre-clearance”
FEG’s designated text message communication platform to be used for all external Business-Related Communications
What is Zoom
When employees are working remotely, what application/software should they access first when using Public WiFi
VPN – (Virtual Private Network), CISCO or DUO would be acceptable, as they are tools used to connect to the VPN.
The maximum permissible amount for giving or accepting a gift per person per calendar year
What is $300
A newly established brokerage account must be disclosed through Star Compliance within this time period
What is “30 days”
Provide an example of a Non-monetary Political contribution
What is Volunteer work on campaigns or Solicitations on behalf of a candidate, etc.
Employees can use this approved platform for sending text messages during business hours
What is Teams / MS Teams
Type of cyber attack that uses deceptive text messages
What is Smishing
Employees are most vulnerable when reading emails on this device
What is a “cell phone” (or allow “Mobile or Mobile phone”)
The total number of calendar days in FEG’s “blackout period” during which an employee is restricted from trading in the same security as a client transaction.
What is “Fourteen” or “Seven days prior & Seven after trade date”
FEG’s pay-to-play policy allows for political contributions that are considered “de minimus”. This amount is applicable to each ________.
What is a “candidate” or an “election”
Employees can use this email platform for all types of communications (e.g., internal, external, etc.)
What is Microsoft Outlook
This form of password is generally considered to be one of the strongest
What is a passphrase (or allow “what is a phrase”)
This type of performance is always subject to the Marketing Rule
What is "hypothetical performance”
Certain ETFs / ETPs are exempt from preclearance requirements if they appear on this list within the Code of Ethics.
What is the “broad-based index list”
The maximum permissible political contribution that you can make to a candidate per election, who you are eligible to vote for?
What is $350
FEG uses this platform to archive and review employee electronic communications (Outlook, Teams, Zoom)
What is Global Relay (use opportunity to talk about access to employees, search capabilities, and to reduce cyber risk / exposure risk)
These are typically considered the most critical but also the weakest element of a Firm’s Cybersecurity program.
What are “employees” or “humans”
On June 12, 2025, how many proposed rules did the SEC withdraw that were issued by the prior administration
What is “14”
Three “special” types of investments that always require pre-clearance, regardless of the amount.
What are Initial Public Offerings (IPOs), Private Placements, and Initial Coin Offerings (ICOs).
The maximum permissible political contribution that you can make to a candidate per election who you are not eligible to vote for.
What is $150
This popular business networking platform should not be used for FEG business communications unless the user is setup for archiving through Compliance.
What is LinkedIn (mention we can archive in Global Relay)
You should not click on these in emails if the email looks suspicious
What are “links” or “attachments”
In April of 2025, this individual replaced Gary Gensler as the SEC Chair.
Who is Paul Atkins