Initiates and conducts research relating to investment suitability of various individual or classes of securities using sources such as annual or industry reports, trade journals, technical periodicals, and brokers'' and management reports. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.