When must I submit a request?

Submit before the proposed execution date and ideally at least 48 business hours in advance. Late submissions may be processed as exceptions and require additional review.

Is an electronic signature acceptable?

Yes, an electronic signature is acceptable if it demonstrates intent, consent, attribution, and durable record retention consistent with ESIGN (15 U.S.C. ch. 96) and any applicable state law.

Most internal HR pre-approval forms do not require notarization. Use a notary only when company policy or a specific regulatory obligation mandates it.

What if my request is denied?

If denied, the approver should provide reason and any mitigation steps. Denials and related communications must be retained in the compliance file for evidentiary purposes.

How long must forms be retained?

Retain forms according to company policy; a common standard is at least three years post-termination. Consider longer retention for matters with regulatory or litigation exposure.

How do I correct an error on a submitted form?

Submit an amended form with a clear reference to the original submission. Approvers should note the amendment and preserve both versions for audit trails.

Electronic Signature
Templates
HR
HR Trading Pre-Approval Form

HR Trading Pre-Approval Form

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

HR TRADING PRE-APPROVAL FORM

Personal Information

Full Legal Name Employee ID Home Address

Phone

Email

Position Information

Job Title Department Reporting Manager

Manager Email

Start Date

Base Salary (annual)

Proposed Trade Details (Request)

Broker / RIA Firm:

Account Number

Security Name

Ticker Symbol

CUSIP (if known)

Buy / Sell

Quantity / Shares

Estimated Value

Limit Price (if applicable)

Intended Trade Date: Order Type:

Primary Reason for Trade

10b5-1 Plan / Pre-arranged Instruction? Yes Trade on behalf of Trust / Gift? Yes

Insider Trading Attestations

I hereby certify that, to the best of my knowledge:

I am not in possession of material non-public information concerning the issuer of the security identified above and I will not trade if I have access to material non-public information prior to execution of this transaction.

I will comply with the company's Insider Trading Policy and any blackout periods or other trading restrictions that apply to my position.

I understand that approval is not a legal opinion and does not guarantee immunity from civil or criminal liability arising from violation of securities laws. I understand that unauthorized trading may result in disciplinary action, up to and including termination.

Trading History (Recent)

Describe trades in the last six months in the same issuer (if any)

Employment History

Previous Employer 1 - Company Name

Responsibilities Reason for Leaving

Previous Employer 2 - Company Name

Responsibilities Reason for Leaving

Education

Highest Degree Institution Graduation Date

References (Professional)

Reference 1

Reference 2

Reference 3

Legal Disclosures

At-Will Employment: I understand that my employment is at-will and may be terminated by either the company or me at any time, with or without cause or notice, unless otherwise specified in a written agreement signed by an authorized representative of the company.

Equal Opportunity: The company provides equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, national origin, age, disability, or any other protected status under applicable law.

Applicant Certification and Authorization

I certify that all information provided on this form is true, complete, and accurate to the best of my knowledge. I authorize the company to contact my prior employers and references to verify the information provided. I also authorize background checks, as permitted by law, in connection with this request.

I understand that submission of this request does not authorize execution of the proposed trade. I will not execute the trade until I receive express written pre-approval from the company (which may be provided by email or other internal approval process) and I will notify Compliance immediately if any material non-public information is discovered prior to trade execution.

I further acknowledge that failure to comply with applicable securities laws, the company's policies, or this pre-approval process may result in disciplinary action, civil liability, or criminal penalties.

Compliance Use Only

Compliance Determination: Approved Denied

Approver (print name) Approval Date Compliance Notes

Employee Printed Name:

By (Signature):

Date:

What the HR Trading Pre-Approval Form Is and Why it Exists

The HR Trading Pre-Approval Form is a standardized internal compliance document used to request and record prior authorization for personal securities transactions by employees, officers, or covered persons. It captures the requestor's identity, proposed trade details, current holdings and blackout window status, and attestation of policy awareness. Organizations use the form to enforce insider trading policies, maintain evidence of approvals or denials, and create an auditable record for legal and regulatory review. The completed form becomes part of personnel and compliance files and supports timely supervisory review.

Why a Formal Pre-Approval Process Matters

A documented pre-approval form reduces legal and operational risk by creating a clear audit trail, enforcing consistent decision criteria, and protecting the firm and employees against inadvertent insider trading violations.

Who typically completes or reviews this form

Different teams participate in the pre-approval workflow depending on company size and regulatory profile.

Employees and officers requesting permission to trade, providing transaction and holdings details for review.
Compliance officers who evaluate conflicts, check blackout periods, and record approval or denial decisions.
HR or legal staff who retain completed forms and ensure alignment with internal policies and employment agreements.

Centralizing submission and review responsibilities streamlines approvals and preserves regulatory evidence.

Core elements of a professional HR Trading Pre-Approval Form

A well-designed form captures identity, proposed transaction specifics, attestations, approval fields, audit metadata, and retention instructions so reviewers can decide quickly and defensibly.

Requestor Identity

Full legal name and role, employee ID, and contact details to uniquely identify the signer and link to HR records.

Transaction Details

Security name, ticker, buy/sell indicator, quantity, account type, and proposed execution date for accurate conflict checking.

Holdings Disclosure

Current positions, account custodian, and any related party holdings to determine whether the trade creates a material nonpublic information risk.

Attestations

Requester confirms awareness of blackout windows, trading windows, and company policies; includes signature and date for intent to sign.

Approval Fields

Designated approver name, decision (approve/deny), approver signature, and timestamp to document final compliance determination.

Recordkeeping Notes

Retention instructions, file location, and distribution list so the form is stored and retrieved in line with policy and regulation.

Step-by-step: submitting a trading pre-approval request

Follow these four steps to submit and complete an HR Trading Pre-Approval using the standard workflow.

01

Prepare request: Complete all required fields and attach supporting account statements if requested.
02

Submit to compliance: Send form via internal portal or designated email to the compliance reviewer.
03

Compliance review: Compliance evaluates conflicts, blackout windows, and policy compliance within the review window.
04

Approve or deny: Approver records decision, signs, and returns a copy to the requester and HR.

Typical eSubmission workflow for approvals

This sequence describes a common automated route for online submission and electronic approval of pre-approval requests.

Upload: Requester uploads the completed form to the compliance portal or eSignature service.
Assign: System routes the request to the designated compliance approver according to workflow rules.
Authenticate: Approver authenticates identity and reviews the request and attachments before signing.
Archive: Signed form and audit trail are stored in the records repository for retention and audit.

Suggested digital workflow settings for consistent processing

Configure these workflow elements in your document management or eSignature platform to reduce manual steps and enforce policy.

Notification Rule	Email plus system notification to approver within one business day.
Approval Order	Compliance reviewer first, then legal or HR as required.
Authentication Level	Email + SMS code for approvers; email link acceptable for requesters.
Retention Setting	Automatic archival in compliance folder with access logs enabled.
Audit Trail Enabled	Capture IP address, timestamp, and signer actions for each transaction.

Technical options for eSigning and storage

Choose a platform that supports secure eSignatures, audit trails, and integration with your HR or compliance systems.

Integrations: Salesforce, Microsoft 365, NetSuite supported by many providers.
File formats: PDF and DOCX accepted; preserve original format where possible.
Authentication: Support for email, SMS, or stronger signer verification methods.

Comparing internal HR pre-approval and external broker pre-approval

Quick feature comparison to distinguish an internal HR Trading Pre-Approval Form from a broker or custodian pre-approval process.

Form Feature	HR Internal Form	Broker Pre-Approval
Notarization Required
Regulatory Filing	internal record only	may trigger broker reporting
Intended Signers	employee + approver	account holder + broker
Typical Use	policy compliance	custodian trading controls

Sample eSignature vendor comparison for processing HR forms

Basic pricing and feature availability across popular eSignature vendors; signNow is listed first as the reference column.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Security and compliance controls to include with the form

Encryption: TLS 1.2/1.3 in transit, AES-256 at rest

Audit Trail: Timestamped logs, IP, and signer actions

Access Controls: Role-based permissions and admin review

BAA Availability: HIPAA BAA required for PHI-containing workflows

Authentication: Email, SMS, or stronger multi-factor options

Certifications: SOC 2 Type II, ISO 27001, PCI DSS where applicable

Common mistakes that delay or invalidate approvals

Incomplete transaction details such as missing ticker or account custodian often require resubmission and slow approvals.
Submitting requests after execution or within blackout windows can lead to exception processing or disciplinary review.
Mismatched names or employee IDs between the form and HR records impede identity verification and may void approvals.
Failing to attach required supporting statements or attestations forces manual follow-up and extends processing time.

Risks and potential consequences of improper approvals

Regulatory Discipline: Fines or sanctions under securities laws

Employment Action: Warnings, suspension, or termination

Restitution: Orders to disgorge gains in misconduct cases

Reputational Harm: Loss of stakeholder trust and business impact

Record Deficiencies: Failed audits and regulatory inquiries

Criminal Liability: Possible charges in intentional insider trading cases

Illustrative use cases for the pre-approval form

Two concise scenarios show how different organizations rely on a consistent pre-approval record to manage trading risk and compliance.

Mid-Size Public Company

A senior engineer requests to sell restricted stock during a trading window

Compliance verifies no material nonpublic projects
The approver documents decision and stores the signed form for audit readiness, avoiding potential conflicts during earnings periods.

Financial Services Firm

A portfolio analyst requests to buy shares in a covered issuer

Compliance checks for blackout restrictions and exposure
The request is approved with conditions recorded; the firm retains the signed pre-approval to demonstrate supervisory control in later regulatory review.

Frequently asked questions about the HR Trading Pre-Approval Form

Answers to common FAQs about submission timing, signatures, electronic acceptance, and record retention for pre-approval requests.

Need help? Contact support

When must I submit a request?
Submit before the proposed execution date and ideally at least 48 business hours in advance. Late submissions may be processed as exceptions and require additional review.
Is an electronic signature acceptable?
Yes, an electronic signature is acceptable if it demonstrates intent, consent, attribution, and durable record retention consistent with ESIGN (15 U.S.C. ch. 96) and any applicable state law.
Do I need a notary?
Most internal HR pre-approval forms do not require notarization. Use a notary only when company policy or a specific regulatory obligation mandates it.
What if my request is denied?
If denied, the approver should provide reason and any mitigation steps. Denials and related communications must be retained in the compliance file for evidentiary purposes.
How long must forms be retained?
Retain forms according to company policy; a common standard is at least three years post-termination. Consider longer retention for matters with regulatory or litigation exposure.
How do I correct an error on a submitted form?
Submit an amended form with a clear reference to the original submission. Approvers should note the amendment and preserve both versions for audit trails.

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