Are *all* employees who work at a bank (regardless of position) required to adhere to FINRA’s 30 day holding period for personal trading? For reference, I’m not considered an “access person”.

like
Posting as :
works at
You are currently posting as works at

Just depends on the bank and division and what you support. At a prior bank I had no restrictions in my back office role.

like

I believe it’s only if you’re considered private side

like

Yes

like

I work in product development. I didn't have to transfer to any specific account. It is just Citi's policy. It's covered in one of our million trainings.

As an associate at Capital One, I wasn’t.

like

Finra doesn’t have a 30 day holding period for licensed individuals. Maybe your firm has a 30 day hold policy, JPM does but there isn’t a regulatory rule.

helpful

Yes I believe so.

like

Not that I’m aware of. Believe this is role dependent.

Related Posts

My company is starting Hybrid WFO,3 days a week and not providing office cab or bus.
Looking for some companies which are hiring for Permanent WFH and are open to consider 3 months of notice period.
Tech skills:Snowflake cloud
YOE:10
Current CTC: on the higher side
Expected CTC:same(last switch was in May)
Location:Pune
PS:I am not in TCS

like

What is the average salary for an Account Manager position? For context, the agency is 100% remote and doesn’t base salary based on the employee’s location. Was originally told $80k but was then informed the recruiter made a mistake and that it will likely be mid-70s at the highest.

like

What are some good practices during the sales phase of a potential project to execute before the contract is signed? Seems obvious but would love some ideas on standard operating procedures that help with seamlessly handing over a signed contract to the account team. For example, speaking to the potential client explicitly about their role in staying on schedule, reviewing scope creep consequences, etc.

like
like

Anyone hiring for account management?

like

Hi all!
Does anyone have a salary range for a Data Governance Manager role?

like

Hi, Can anyone working at SAP help me get a referral for a cloud developer role I'm trying to apply!

like

Accenture India Hello Amazonians, my joining date is on 30th May and I have received no communication regarding my first day. Any idea when will i start getting emails. Role: cloud support associate Amazon Amazon Web Services Amazon India Accenture

like

Anyone willing to refer me for a mid-level compliance role based in London?

like

I am new in the US market and wondering about the pay range for a manager role in a fund admin firm in SF, CA. Can you kindly let me know?

likehelpful
like

Hi Fishes, I am really interested in product management and want to switch my role from risk analyst in a product owner/product manager role.
How difficult it is to do in amex? Its been half a year since I joined amex and I am planning to talk to manager after completing one year.

Can someone please suggest me if this kind of switch is possible? And how should one go about it

Any advice would be helpful

like

BDO, I need some help~ What so you think about a remote position? Is there any huddle in progression if you are fully remote? What's next after MD?

like

How does the Merck interview/hiring process work? My wife interviewed there 2 weeks ago for a job and hasn’t heard anything… today she got an email from workday about “continuing the process”. The there was a link in the email that brought her to workday and asked about non compete and salary requirements. Is this possibly good news or just standard practice?

like

Hi Fishes,

Need your suggestion. I have given an interview in EXL for Senior Business Analyst role and been shortlisted. Could you all please suggest how much should I expect and ask.

YOE :- 4 Years and 9 Months
Skills :- SQL, Power BI, Tableau
CCTC :- 5.25 lakh

like

Hi Guys,
Anyone joined CTS as lateral hires still in bench more than 30 days. If you got the project recently, pls guide how to get the project.

And if have openings in ADM domain let me know

like

Just completed HR call for Technology Consultant position (new grad). How much is starting salary for this role?

like

Boston BioTech

I'm in the final round of interviews for two internal positions - both vertical. One has FTE's (my first such experience) and the other a much broader scope vs my current role

I had interviewed externally for a role on par w the internal roles, at a smaller and less established company. They confirmed +20% was in their range

How do I push back on my company if they offer less than that, if I do want one of those roles? Without a pay scale, what is the best way to approach?

like

Seeking advice: I am a young sales consultant and sales engineer working for a tech startup company. I have 6 years of sales experience. And I have been helping run my family business for the past 10 years. I was intially interviewed for a senior account executive position at a $70k offer. Instead they told me I needed more training and hired me as a Junior account executive at a $50k salary + commission. Today is my 6th month mark and I have done very well. And no talks of a promotion / raise..

like

Hey there, new and curious fish. Are you considering a position in pharma? Worried about how creative you can be? Thinking if the salary is worth it? Ask your questions about entering the world of healthcare advertising here and we’ll answer.

likefunny

More Posts

What are some transferrable skills in SaaS tech support? I feel specialised in product(s) but trying to see how I can leverage my skills and grow out

like

I'm considering taking on some freelance web design projects to earn a little extra cash for the holidays, any ideas on where I can find projects?

Definitely took the wrong job. I was offered a seriously competitive salary and great benefits to work at a well funded startup, which is great! Turns out the salary and benefits were meant as lowkey bribes to insure I worked at the company without actually doing any work. Every single suggestion I've made has been shut down and I've been ghosted for several meetings with the CEO. What should I do? Just leave?

like

I’m beginning to think all the 2020 SB briefs started with... “we need a big personality to represent our brand.” Since when is celebrity a substitute for concept?🤔

likesmart

Hi fishes! To those of you who moved from UK (or elsewhere) to Dubai for work - is it the standard norm to get an expat package when you move to Dubai? Just trying to understand how it works. Thanks!!

like

How do you motivate yourself to get out of bed when you’re having an anxiety attack and just want to curl up under the covers?

like

Hi,
Is python+microservices+ gcp is good techstack to grow?

like

What is tier 1 2 3 stuff?

like

Do all big 4 firms “even out” experienced hire salaries over time?

like

Interview tomorrow for a tax associate opening at RSM. Been working in a mid-size city (different firm) that is about 70 minutes from this new home office in a larger metro. How flexible is WFH or dual model going forward post Covid? Am interested in this position and going to tax, but not be able to relocate for family reasons. Don’t want to drive 700 miles per week M-F. What will dual model be like going forward? 1-2 times week, 4-5 month? Seems like tax was more flexible than audit pre-Covid

like

I'm new to the field. Everyone seems extremely stressed and overworked. Am I seeing the worst of it, or is that the norm?

like

4/6/2022 check in. What are your workout plans today?

like

Texas Big Law friends, might I suggest donating some of that big law cash to causes that are pro-gun control and anti-mass murder of children? I hope you’ll join me.

likefunny

Anyone work at Allen Norton & Blue? Any insight on salary and work life balance?

like

Which machine learning conferences are FAANG companies recruiting at ?

helpful

Would you still finish the screenplay if you knew there was no way it was ever going to be made?

like

Any books/resources to understand the ML algorithms with the maths behind it?

like

What's it like to work at Deloitte, BCG, or McK in their agile transformation space/offering/practice?

helpful

Pls suggest and refer me for this openings in genpact

Post Photo

Additional Posts in Finance

Anyone else get awful anxiety while hungover? My chest is always super tight the next day after drinking

like

Why would a lesbian co-worker want to have sex with me-hetromale?

What is the salary range for an associate at JPM?

like

Work hours change scenario: 8hours/day for 4 days per week or 6hours/day for 5 days?

like

Series 79 and 63 - does anyone have these? Tips for how long it takes to study? I.e. 3 hours a day spread out over a month or something more intense?

like

What’s your take on Ackman’s CNBC interview in light of his bet on credit spreads?

like

What are some good modern/post-pandemic personal finance books you can recommend?

Anyone else pretty terrible at managing their own finances? I have an embarrassingly little amount of cash saved.

like

Colleague in the office introduces himself. I introduce myself. He responds "Oh, I've heard your name a lot around the office. You are the one that does all the work on the team" ⛓😓⛓

like

When's the best time to start looking for jobs? Would people say Q1 is when a lot of spots open up?

like

If you're interviewing at a competitor of a firm you used to work at, what are the chances they call your old boss?

like

London crowd: know if the US version of Netflix is that much superior? Thinking about buying a VPN, but what not make sure that it’s worth it.

like

New to this app, but I feel is somewhat similar to Wall Street Oasis just more accessible than WSO am I wrong?

like

How many sq ft is your place?

Nothing like working until 2am doing menial tasks for the client on your birthday

like

How much does AVP at citi bank gets paid in FRM - ICG in NYC? Currently a senior BA getting close to get promoted and unsure if it will be a good jump or if Im demoting myself

like

I work as an FP&A and am on the market for a new position after almost two years with this company because I know the value of the duties and responsibilities I have, but the compensation is lacking. I have 6 years experience and am talking with multiple recruiters with a few leads - nothing is set in stone yet. Any advise on how to approach my supervisor when/if a new job offer comes my way

like

What's the most you've ever paid for a single drink?

like

How risky is going to a startup which is currently going through Series A? Have just received an offer.

like

I heard there were recent comp changes at amazon.

What's would a L6.5 Finance Manager comp package look like now? I'm expecting an offer soon and wanted to make sure I'm equipped with the right info to negotiate.

like

New to Fishbowl?

Download the Fishbowl app to
unlock all discussions on Fishbowl.
That was just a preview…
Sign Up to see all discussions
  • Discover what it’s like to work at companies from real professionals
  • Get candid advice from people in your field in a safe space
  • Chat and network with other professionals in your field
Sign up in seconds to unlock all discussions on Fishbowl.

Already a user?
Login here

Share

Embed this post

Copy and paste embed code on your site

Preview

Download the
Fishbowl app

See what’s happening in your industry
from the palm of your hand.

A phone with Fishbowl app

Scan your QR code to download
Fishbowl app on your mobile

Download app

Sign up for free to view this conversation on Fishbowl

By continuing you agree to Terms of Use and Privacy Policy

Already have an account? Log in

Sign up for free to continue using Fishbowl

By continuing you agree to Terms of Use(New) and Privacy Policy(New)
Messaging rates may apply

Already have an account? Log in

For account settings, visit Fishbowl on Desktop Browser or

General

Legal