---
title: "Stage 0 — Safety and authority gate (day 0)"
slug: "do-it-yourself-game-plans/stage-0-safety-and-authority-gate-day-0"
section: "Do-it-yourself game plans"
description: "Write: what decision is needed, by what date, whose legal authority is required, and what cannot be shared. If the matter affects securities, employment, f"
internal_only: false
---

# Stage 0 — Safety and authority gate (day 0)

Write: what decision is needed, by what date, whose legal authority is required, and what cannot be shared. If the matter affects securities, employment, fiduciary duties, litigation or a distressed company, route legal questions to qualified counsel immediately. The SEC's broker-dealer guidance makes clear why securities-related introductions and transaction compensation require separate scrutiny. [Broker-Dealers — US SEC](https://www.sec.gov/resources-small-businesses/capital-raising-building-blocks/broker-dealers)

**Deliverables:** decision owner; authority/approval map; confidentiality classification; specialist escalation list. **Stop condition:** no one can identify the lawful decision-maker or sensitive data would be exposed.