So I held a derivative of a pre-cleared security (spy/qqq) for less than 30 days and my trading policy at BB says all derivatives need to be held for at least 30 days (I held for 25). At my previous firm pre-cleared securities and their derivatives could be traded freely…
Will I get a call from compliance? Is this slap of the wrist territory or will I be terminated?
| +240 | UBS Layoffs (October 2026) | 70 | 4h |
| +110 | Do people still want to go PE? | 34 | 7h |
| +70 | UBS Tech layoff | 20 | 2h |
| +62 | Bloomberg - New UBS Investment Bankers See Smaller Pay Gain on Promotion | 15 | 18h |
| +46 | Think I'm fucking up my analyst years | 16 | 3d |
| +36 | What Differentiates the Best Analysts as AI Improves? | 9 | 16h |
| +33 | Lazard hirevue | 11 | 19h |
| +26 | Ambitious CC Student trying to break into IB | 14 | 6d |
| +22 | Cornell Club T10 Rankings (UPDATED 10/2026) | 15 | 23m |
| +22 | Quitting After First 4 months | 10 | 4h |
Career Resources
Get instant access to lessons taught by experienced private equity pros and bulge bracket investment bankers including financial statement modeling, DCF, M&A, LBO, Comps and Excel Modeling.
Quasi et quia aspernatur vel corporis rem aliquid. Omnis ratione laboriosam deleniti qui. Ut minus deleniti praesentium animi quo consequuntur.
At cum aut provident occaecati fugiat laudantium. Sed impedit inventore minima eligendi et consequatur. Ea veritatis qui voluptatem quo. Consequatur asperiores labore molestias mollitia numquam eos quos eum.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...