Dear Mr. XXXXX,
RE: XXXXX
Your holdings and/or recent trading activity in AAPL in your IBKR account indicate that you may be an "affiliate" for the security as defined in Rule 405 under the Securities Act of 1933 or applicable securities laws and regulations.
If you are an affiliate, there are significant trading restrictions to be in compliance with the rules. Please reference these rules for affiliates for further details. The SEC has provided helpful guidance regarding rules for affiliates:
LINK../investorpubsrule144htm.html
IBKR has therefore restricted you from further trading in ENTX. If you wish to trade this security and would like to have this trading restriction on this security temporarily removed, please respond to this customer service ticket with your reasoning.
Once you have submitted this request, IBKR will complete a due diligence review.
If IBKR concludes that you are not an affiliate, trading restrictions in this security will be lifted for a two-week period in which you can trade the security. After this two-week period, your trading in this security may be restricted again. If you wish to trade the security after the two week period, you can request another review.
You are free to transfer these shares out of IBKR at any time. If you have any questions about how to do so, please contact Client Service at +1 877-442-2757.
If you have any questions, you can reach the US-based Compliance Department by phone at +1 (312) 542-6889 between 11:00 PM and 7:00 AM China Standard Time (UTC +8).
Thank you for your prompt attention to this matter.
IBKR Compliance Department
