Wasn’t notified that brokerage account needed to be submitted with compliance. Made trades in the past 3 months there. Any ideas what could happen now that I’ve submitted proper documentation?

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

Trades that you ran by compliance? If yes, probably nothing too crazy. Same for trading ETFs.

If you’ve been making unapproved wildcat trades in specific stocks I can see things getting hairy.

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No extreme trades in and out. Just when the market dipped I bought shares of a couple blue chips. Spoke with compliance and said they’d get back to me if they see something they didn’t like about it and that it’s a mistake they see regularly. And being that I’m new and wasn’t given adequate training on it, that’s been taken under consideration as well and that it’s something that happens occasionally with new hires.

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You’ll be fine. Same thing happened to me a few years ago and all they did was ask for all my confirms from when I started.

All this is assuming you weren’t trading anything that was on your company’s restricted list...

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Bruh Moment

Send a long apology letter to Compliance and let them know you were oblivious to the rules on trading

Perfect! You should be cleared. It’s better you reached out to them. They will just say don’t do it again and move on

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