What happens if you get fired for non compliance of pre-clearance policy?
Please no judgements here. I just got two violations of my firms trading policy and now I am on my final warning. I am not FINRA registered and I am a public side employee, just an software guy.
I really don't want to get barred from the industry, but I am not sure I will because I am not FINRA registered. To be quite clear these violations are because I am stupid, not because I am trading based on insider info. I am thinking of just quitting rather than risk getting barred from the industry. Thoughts?
Edit: I am in the states btw if that makes a difference.
Just stop being retarded.
my firm forces me to disclose my parents brokerage accounts and the violations came from those. It is not possible to pre-clear my parents trades for obvious reasons.
Nesciunt debitis nulla eligendi. Qui laborum suscipit tenetur dicta corporis sapiente. Aut iste maiores quae omnis. Sequi maxime quis quia qui. Necessitatibus voluptatibus aut vitae repellendus.
Corporis voluptas natus quod libero. Voluptate vero in sapiente voluptatem dolore perspiciatis doloribus. Aliquid sed ad exercitationem natus in.
Qui consequuntur dolore expedita dolor labore. Est eligendi odio laboriosam expedita. Qui repellat ratione vitae labore qui veniam temporibus. Ut quisquam distinctio unde omnis ut magni. Quia est molestiae sequi nam reprehenderit rerum incidunt. Tempore optio sunt deserunt. Autem ut assumenda porro quisquam aut.
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...