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”
Any internal or external Electronic Communication made via a non-approved/(non-archived) platform is called _______
What is “Off-Channel Communication”
When employees are working remotely, they must connect to this application before they access FEG’s folders
What is "VPN – (Virtual Private Network)" or CISCO would be acceptable
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”
A political contribution of $500 to a PAC does not require pre-clearance because it was not for a specific candidate or election (true/false)
What is "False"
FEG’s designated Text message communication platform to be used for all external Business-Related Communications
What is "Zoom"
A 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 “Cell/Mobile/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 approved platform for sending instant messages during business hours
What is "Teams or Microsoft Teams"
This form of Password is generally considered to be one of the strongest
What is a "passphrase" (or allow “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"
Employees can use this email platform for all types of communications (e.g., internal, external, etc.)
What is "Outlook" or "Microsoft Outlook"
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"
If an email looks suspicious, you should not click on these in the emails
What are “links” or “attachments”
In April of 2025, this individual replaced Gary Gensler as the SEC Chair
Who is "Paul Atkins"