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- 注册时间
- 2011-5-26
- 最后登录
- 2012-9-12
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Not sure about restricted period but it is usual to establish a restricted list in combination of black out period where the firm defines who are restricted to trade in this blackout period. Normally, those are the firm's officers and those who have access to earnings data.
Another restricted list is for the IB firm to define list of stocks financial advisors are forbidden to recommend to clients or analysts cannot cover them (for a certain period) since the firm has some kind of conflict of interest/inside info (doing IB,...) |
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