IA- Investment Adviser Pre-Clearance Trade Request Form

The Investment Adviser Pre-Clearance Trade Request Form serves as an important part of an investment adviser’s code of ethics and overall compliance program.  In accordance with SEC Rule 204A-1 under the Advisers Act, the SEC recommends that advisers require prior written approval before Access Persons can place personal securities transactions involving reportable securities. This Request Form assists in reviewing, pre-clearing and comparing reportable trades against Personal Quarterly Securities Transaction Reports and corresponding brokerage statements. Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification.

Version/Update: V.2/February 28, 2019

Total Page Count: 1

Source/Author(s): Connexien