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Do employees at fintech companies have restrictions on stock trading like banks?

Doximity oIyx42

Aug 14, 2020 8 Comments

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I am talking about robo advisors like Robinhood, Betterment, Stash, Acorns, etc.
I am a SWE

Robinhood Betterment Acorns

2 8

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TOP 8 Comments

Robinhood zhao0

At Robinhood, restrictions vary by role and also depend on whether you are a registered rep (ie have Finra license) or have supervisory responsibilities. Also, all employees need to disclose outside accounts and the firm gets copies of your statements. Most SWEs have little or no trading restrictions

Aug 14, 2020 2 0
Financial Services Company / Eng XpoH71

In a way yeah

https://www.finra.org/rules-guidance/rulebooks/finra-rules/5270

Aug 14, 2020 2 0
Microsoft / Eng quantdev

depends on how close you are to the securities handling side of the business.

Aug 15, 2020 1 0
Affirm xyzabc22

Yup, but mainly team depend. If you have access to non public date then you can’t trade. Or if you know what deals are in the pipeline.

Aug 14, 2020 1 0
JPMorgan Chase Xao8

Yes

Aug 14, 2020 1 0

blind

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Do employees at fintech companies have restrictions on stock trading like banks?

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