Opening a new account triggers certain reporting regulations that require your employer to monitor your personal trading activity. Please complete the following steps.
For Broker-Dealer Employees
- When opening your account, answer "yes" to the question under the Association section.
- Then enter your firm's name in the Association field.
For Non-Broker Dealer Employees
As you open your account
- Select "Employed" under Employment Status.
- Enter your advisor firm's name in Employer's Name field.
After your account is opened
- Provide your compliance department with your account number(s).
- Within 24-48 hours, you’ll receive an email requesting your consent.
- Log into your Fidelity account using the link in the email or Fidelity.com.
- Select "Complete the Consent Form."
- Confirm the accounts to be monitored.