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Spire 3270 3040 online-2025

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The document outlines the requirements for candidates and representatives of Spire Securities regarding the disclosure of outside business activities and private securities transactions, in compliance with FINRA Rules 3270 and 3040. It mandates that all candidates complete a Questionnaire and Disclosure Form prior to affiliation, detailing any outside activities for compensation and personal securities accounts. The document emphasizes the necessity of obtaining written approval from Spire's Compliance Department before engaging in any outside business activities or private securities transactions, ensuring adherence to regulatory standards.

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