Create Record — CLEARANCE

Step 1

Jurisdiction

Country of residence

Name (optional - for your PDF)

Email (optional - for standards updates)

Referral source (optional)

Step 2

Employment Status

What is your current employment status?

Employed by an organization Self-employed / Independent

Step 3

Client Obligations

Do you currently work with clients under confidentiality or NDA obligations?

Yes No

Do you consider your AI platform work potentially related to client subject matter?

Yes No Unsure

Step 3

Professional Details

Employer name

Role / Title

Employer type

Hedge Fund / Multi-Strategy Fund Asset Manager / Institutional Investor Investment Bank Private Equity / Venture Capital Credit Fund / Fixed Income Sell-Side Research / Brokerage Wealth Management / RIA Corporate Finance / Treasury Other regulated financial institution

Primary function

Sector coverage (select all that apply)

Seniority level

Analyst Associate Vice President Director / Principal Managing Director / Partner C-Suite / Senior Leadership

Step 3b

Employer Disclosure

Do you intend to disclose this outside activity to your employer?

Already disclosed and approved I plan to disclose before starting Still exploring — want to understand my options first I do not intend to disclose at this time

Step 4

Compliance Details

Does your employer restrict the number of hours you can work externally?

Yes — specific hourly cap General expectation not to interfere with primary role No restriction stated Unsure

Step 4b

US Regulatory Context

FINRA Proposed Rule 3290 — Filed with the SEC on 14 January 2026. Broadens outside business activity requirements to include "investment-related activities." Comment period closes 24 February 2026. Federal Register →

Are you a FINRA-registered representative?

Yes — I hold a FINRA registration (Series 7, 63, 65, 66, or other) No — but I am an associated person of a FINRA member firm No Unsure

Has this outside activity been disclosed on your Form U4?

Yes — disclosed and approved Pending — amendment submitted No Not applicable — not FINRA registered

Does your firm require prior written notice for outside business activities under FINRA Rule 3270/3280?

Yes — and I have provided notice Yes — but I have not yet provided notice No — my firm does not require this Unsure

Step 4b

UK Regulatory Context

FCA SM&CR — The Senior Managers & Certification Regime applies conduct standards to individuals performing regulated functions, including oversight of outside engagements. FCA Overview →

Are you subject to the FCA's SM&CR regime?

Yes — I am a Senior Manager (SMF holder) Yes — I hold a Certified Function Yes — I am subject to Conduct Rules only No — my employer is not FCA-authorised Unsure

Has your firm's compliance function been notified of this outside engagement?

Yes — notified and approved Yes — notified, pending approval No Not applicable

Does your employment contract contain a restrictive covenant or moonlighting clause?

Yes — I have reviewed it and this activity is permitted Yes — but I have not reviewed it in detail No restrictive covenant exists Unsure

Step 5

Task Restrictions & Conditions

How would you prefer your work to be attributed?

Real name — I am comfortable being identified Real name internally only — anonymous in any external outputs Complete anonymity required

Are there task types you are NOT comfortable performing due to employer restrictions? (select all that apply)

Stock recommendations (buy / sell / hold) Price targets or valuation conclusions Opinions on securities within my employer's coverage universe Any work related to my employer's business or portfolio Investment timing calls Building models with new assumptions (vs. reviewing logic only) Industry or sector recommendations No restrictions identified

Final Step

Acknowledgments

The record holder acknowledges:

1. This record reflects information provided at the time of creation.

2. Employment agreements or policies may contain provisions relating to outside professional activities.

3. This record does not constitute legal advice, compliance assessment, or employer authorization.

4. Responsibility for understanding and complying with any applicable obligations rests solely with the record holder.

5. Anonymised, aggregate data from this record may be used for market intelligence and compliance analytics, in accordance with our Terms of Service. No individual contributor or employer will be identifiable.

I acknowledge the above statements.