GE
$50
What is the minimum threshold for gifts to be reported?
1931
When was Capital Group founded?
US, Govt, SIO and Japan unit trusts
What are some security types that do not need to be reported?
This rule allows employees to save for retirement through pre-tax salary deferrals
What is rule 403(b)?
Appeared on the soap opera Passions
Who is RXV?
What is the minimum Entertainment $ amount that require pre-approval?
$500
Under this policy associates must certify they have not been found guilty of any criminal offense
What is the Associate Conduct Policy?
Diversified funds, CG-affiliated funds, AAA rated bonds,
What are some types of securities that do not require trade requests?
This rule requires a registered representative to inform their employer when they open an account at another institution
What is the 3210 rule?
Used to be a police officer
Who is BRLO?
All CG Associates
Who does the policy cover?
CG has determined that investment groups work most effectively when structured in these three groups: CII CRGI and CWI
What is disaggregation?
ESPP shares, selling out of all single stock securities held, closing a non-ERF account
When do we grant exceptions to trade request?
This rule helps to prevent Insider Trading
What is 10b5-1?
Watches a K drama (not MTW)
Who is DHS
Market Value
What do we use to determine the value of an event ticket?
This is when CG is in possession of classified information on a company
Derivatives, IPOs, ICOs, Short-Selling
What types of transactions are prohibited?
This rule applies to Investment Advisers
What is Rule 204A-1
Former polo player
Who is SMH?
Trading Department Associates
Who is not allowed to accept any gifts or entertainment with minor exceptions?
This company audits us twice per year
Who is Deloitte?
Over 9000
How many trade requests have been submitted in 2025?
This rule applies to employees of investment companies
What is rule 17j-1?
Decorates more for Halloween than Christmas
Who is CMRW?