Restricted List

To view your firm's restricted list in gVue (if applicable), navigate to the main menu and select "Securities".

Any restrictions on sectors or market cap will be listed first, followed by the list of individual restricted securities.

You can search the list for specific securities using the symbol, security name, or a specific time period. Securities can be filtered by date added or date removed. There is also a dropdown where you can view the active or inactive securities. To export the restricted list, select the blue "Export" button

Securities with a "Date Removed" are no longer active but are displayed for record keeping purposes.