restricted list

Definition

A list of persons affiliated with an investment bank involvement on non-public activities including mergers and acquisitions, and underwriting activities. A person placed on a restricted list is prevented from maintaining a position or soliciting business in stock trading. They are allowed to work as an agency broker after having received proper clearance. Names on the restricted listed are notated by a flashing RA on the Quotron. The information on the list is not to be shared outside of the trading areas.

Use restricted list in a sentence

He would have liked to invest in stocks for some extra income, but he had been put on a restricted list because of his job.

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Businesses often have a restricted list for those who engage in quick stock dropping practices where people get scammed on fake stocks.

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The restricted list that Citi Bank kept included big names, even celebrities, but the Bank would never reveal who the individuals were that collaborated with them.

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