FINRA employee
My wife's work authorization came through and she got a client facing job at a FINRA registered firm. She'll be taking series 7 and all that. So here's my question: Now as the spouse of a FINRA registered employee what restrictions on my trading can I expect? What's reasonable and what should we push back on?
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Baird Karz Feb 24, 2018
Restrictions will be clear from her Firm. Depends on the Firm. For mine, my spouse has the same restrictions as me.
It depends on what the firm does exactly. Most likely you will at least have to turn on electronic reporting to her employer. Trust me, she will be told what the restrictions are.