In 2004,the SEC promulgated Rule 204A-1,which requires firms to keep copies of their own code of ethics,which include:

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Rule 204A-1 requires firms to keep copies of their own code of ethics, which includes protection of material that is not public information, reporting securities transactions and establishing policies to be reviewed by a compliance officer established by each firm, pre-approval for securities transactions by the firm's employees is required, and advisors should describe the code of ethics to clients. Therefore, all of the above options are included in the rule.

In 2004,the SEC Promulgated Rule 204A-1,which Requires Firms to Keep