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Release: Australia · Updated: 2026-05-19 · Official documentation · View source

Submit a preclearance approval request

As a designated access person, submit a request to obtain the preclearance approval from the legal department before you can trade in the securities of your organization.

Before you begin

Role required: sn_lg_ops.legal_user

About this task

You can submit a preclearance request during an open trading window period only if you are in the Access Persons list.

Procedure

  1. Navigate to All > Employee Center.

    Note: If you're using Legal Service Portal, you can submit a legal request by navigating to the Legal Service Portal and selecting a request from the Service Catalog.

  2. Navigate to Help center > Legal services.

  3. Search for the stock preclearance request item.

  4. Select Stock Preclearance.

  5. On the form, fill in the fields.

FieldDescription
Transaction typeType of securities transaction for which you need a preclearance approval.- Purchase - Sell - Transfer - Gift
Number of securitiesNumber of shares to trade.
Nature of securitiesType of shares for which you need a preclearance approval.- Open Market - ESPP \(Employee Stock Purchase Plan\) - ESOP \(Employee Stock Option Plan\) - RSU \(Restricted Stock Unit\)
Proposed transaction dateDate on which you want to perform the securities transaction. The date must be within the current trading window.
Short descriptionDescription for the preclearance approval.
I agreeOption to confirm your consent to trade in securities in accordance with your organization's insider trading policies.
  1. Click Submit.

Result

  • A preclearance approval request is created and assigned to the legal stock approvers group. If configured by the administrator, you get the notification about the progress of your request.

    Note:

    The approval details appear under the Approvals tab on the Standard Ticket page.

  • When submitting the stock preclearance request as a Sec-16 officer, the Subcategory in the request is automatically set as Sec-16 Officer.

  • The Standard Ticket page displays that has the following tabs to perform different tasks:

    • Activity: Track the activity history of the request and post messages for the fulfiller working on the request.
    • Attachments or Documents: Upload and manage the documents in the legal request.

      Note: If the external storage option is enabled, the Documents tab is displayed. Otherwise, the Attachments tab is displayed.

    • Request Details: Review request details.

Parent Topic:Submitting Legal Stock Preclearance requests