Securities with trading restrictions

We have placed some restrictions on the following securities. These restrictions will not prevent clients from making basic buy and sell transactions. This list is as of January 29, 2021, 4:30PM ET.

• AMC, CVM, EXPR, FOSL, GME, NOK, BB, BBBY, FIZZ, GSX, IRBT, NCMI, TR, UONE, VIR, NAK, NAKD, DDS, KOSS

The following restrictions are in place:

• • • Stocks - 100% holding requirement (not marginable)
    • Long calls and puts are allowed
    • Covered call and short put orders may only be placed with a broker. Please be aware that wait times to speak with a broker may be longer than normal due to current market conditions.
      • Covered calls only allowed if your account currently has the shares
      • Short puts only if you have the maintenance/cash to cover the entire exercise amount of the short puts
    • All other complex options orders will not be accepted

Please keep in mind that this list is not inclusive of every security restriction and may change at any time.