Restricted list management
Administer watchlists and blackout restrictions
Manage restricted securities, compare watchlists to active trading blocks, and document the rationale behind every restriction decision.
| Symbol | Company | Restriction Type | Effective Date | Expiration Date | Reason | Status |
|---|---|---|---|---|---|---|
| AAPL | Apple Inc. | Earnings Blackout | 2026-05-01 | 2026-05-10 | Q2 earnings window | Active |
| NVDA | NVIDIA Corp. | M&A Watchlist | 2026-04-19 | 2026-06-30 | Advisory engagement | Active |
| JPM | JPMorgan Chase & Co. | Insider Restricted | 2026-04-28 | 2026-05-20 | Board-adjacent access | Active |
| SCHW | Charles Schwab Corp. | Pre-Clearance Required | 2026-03-01 | 2026-12-31 | Risk-tiered review | Active |
| MSFT | Microsoft Corp. | Earnings Blackout | 2026-04-10 | 2026-04-20 | Quarter close | Expired |
Rule explanation
Restrictions are generated from issuer blackout windows, insider access designations, M&A watchlist events, and role-based pre-clearance policies. Every restriction retains policy lineage and decision evidence for audit review.
Issuer event triggered
Control owner assigned
Employee population scoped
Evidence package attached
Add restriction
Blackout calendar
Sun
Mon
Tue
Wed
Thu
Fri
Sat
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28