
Appendix E Personal Trading Pre Clearance Request Form


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People also ask
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Which publicly traded securities require pre-clearance?
Pre-clearance of trades All Directors, Officers, Designated Employees of the company who intend to deal in the securities of the company in excess of 500 equity shares in number shall pre-clear the transactions as per the pre-dealing procedure as described hereunder.
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Which investments require preclearance?
You must preclear and receive prior approval for all your Personal Securities Transactions (including in MS stock, Eaton Vance Closed-End Funds and Exchange Traded Funds (“ETFs”), excluding the Broad-Based ETFs listed in Appendix III) unless your Personal Securities Transaction is subject to an exemption under this ...
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Who is obliged to preclearance of all trades?
Preclearance policies prohibit employees and agents from engaging in any transaction involving the firm's or other securities without first obtaining preclearance of the transaction from the firm's chief compliance officer, chief financial officer, or some senior officer with similar responsibilities.
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What is SEC pre-clearance?
Preclearance policies prohibit employees and agents from engaging in any transaction involving the firm's or other securities without first obtaining preclearance of the transaction from the firm's chief compliance officer, chief financial officer, or some senior officer with similar responsibilities.
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Do publicly traded stocks require preclearance?
Before undertaking any transactions in a Covered Security, you must submit a pre-clearance request and obtain written or electronic approval. Pre-clearance requests should be submitted through the Compliance Portal or as otherwise directed by Compliance.
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What is pre-clearance in trading?
Pre-clearance is a prior approval required to be obtained by Designated Person from the Compliance Officer and should be taken before dealing in the securities of the Company. The form prescribed for obtaining pre-clearance is 'Enclosure 1 & 2' prescribed under the Code.
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Do ETFs require preclearance?
Note that closed-end funds and ETFs are Reportable Securities, but certain ETFs do not need to be pre-cleared. These ETFs are listed here under “No pre-clearance required.” Shares of any open-end mutual-fund (including Affiliated Funds). ETFs that are not Affiliated Funds and-are based on approved broad• based indices.
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Who does the personal account trading policy apply to?
This policy is applicable to all employees and connected persons of employees, including senior management.
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