Does MBB have restrictions on what stocks you can own?

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Yes, we can’t trade stocks for companies that we are consulting for or have consulted for in the recent past.

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A1, it's a long story and there were several years in between.

Yes, we have a internal trade clearing portal that is part of our inside trading (prevention) policy. You cannot buy or sell if a stock comes up as “do not trade” but are not forced to liquidate if we establish a new client relationship. That said, I’d guess the vast majority of us stock to mutual funds and ETFs which are exempt.

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Pretty similar here. We generally assume that we cannot trade most individual securities (even past clients >2 years ago are barred on the platform) but we are free to trade ETFS and options on those ETFS.

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If you set a broker up with instructions to trade on your behalf and only tell you about things after the fact you’re good to go at McK. I basically tell him to keep the portfolio diversified and focus on stocks that continually grow their dividends over time. But I can’t be like “oh go buy Exxon”

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Seems intuitive but worth confirming this applies to options of stocks as well?

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