November 9, 2021
As Cannabis Stocks continue to increase in popularity, Level Four Financial has implemented the following guidelines for trading in these securities.
The Firm will allow UNSOLICITED trades if the security trades on an exchange. (LFF109 will be required for each trade)
If there is a relationship with your client and the company stock being traded, there may be additional due diligence required before the trade would be allowed.
If trades are placed outside of these guidelines the trades will be reversed and any loss will be charged to you.
Please contact your Branch Manager or Compliance if you have further questions.
