Compensation and licensing vary by provider, by state, and by engagement letter. These five rules do not. Do not quote rates or terms you have not been given on that specific deal; do not represent that a project is eligible; do not promise consent will be obtained; do not advise on tax, accounting, or legal treatment; do not present the assessment as a subsidy, incentive, or grant. Each carries the reason it exists. The self-check is one sentence: if you are about to say something you would not want read back to you in a deposition, do not say it. Includes a routing table, because most conduct failures are routing failures, and a closing list of what a broker can say without hesitation — which is more than the rules might suggest.
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