Personal trade pre-clearance
My prior firm does not require preclearance for trading ETFs. I had put a limit buy order on an ETF in my IRA a long while ago and forgot about it. Then first week into my new job, market tanked and order got executed. Days later I learned in compliance training that the new firm required preclearance even for ETFs.
Has anyone been in a similar situation? How big of a deal is this?
Probably no big deal given no malicious intent + it’s an etf
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