Create Rule - Related Firms

Use the Create Rule - Related Firms page to configure one or multiple firms (e.g., broker/dealer partners) as criteria for a rule.

The Create Rule - Related Firms page is the fourth step in a wizard procedure to configure a rule to apply to a sales authorization check for education credentials for one or more selected product types.

ClosedView screen capture

To open the Create Rule - Related Firms page, click the Continue button on the Create Rule - States page.

Fields and controls include the following:

  • Does the related firm matter?: Configure one or multiple firms (e.g., broker/dealer partners) as criteria for a rule. Click to select one of the following radio buttons:

  • No, this rule applies regardless of firm: Ignores related firm criteria when applying the rule.

  • Yes, this rule applies to firms not covered by another rule: Applies the rule to any firm not specifically configured in another rule in the rule group.

  • Yes, this rule applies to selected firms: Applies the rule only to one or more configured firms. Click the Add a Firm link to open the Search Firm page, where you can search for a firm to apply as criteria for the rule .(For more information, see Searching for Records.) The name of a selected firm will display below. To remove the firm from the rule criteria, click the Remove Firm () button.

  • Back: Click to open the Create Rule - States page.

  • Continue: Click to validate the data entered on the page and open the Create Rule - Education Credentials page, where you can select one or multiple available education credentials as criteria for the rule.

Notes

Note: If you configure a rule that includes the Yes, this rule applies to firms not covered by another rule setting but do not configure another rule that includes the Yes, this rule applies to selected firms setting along with one or multiple specific firms, then a sales authorization request that includes any related firm criteria will check for the education credential configured for the rule with the Yes, this rule applies to firms not covered by another rule setting.