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Good faith violation

Selling a security in a cash account that was bought with unsettled proceeds, before those proceeds have actually settled. Three within twelve months restricts the account.

The phrase refers to the good-faith assumption that you intended to pay with settled funds. Selling too early breaks it. There is no fine; the penalty is a 90-day restriction to settled cash only, which effectively ends active trading in that account.

The safe habit in a cash account is simple: trade only with cash that has already settled, and track the settled balance rather than the buying power figure.

Example: Monday, sell stock A for $5,000, settling Tuesday. Monday, buy stock B for $5,000 with those proceeds. Tuesday morning, before settlement completes, sell B. That is a GFV. Selling B on Wednesday instead is not.

Related: free-riding, cash-account, unsettled-funds, settlement-cycle

Educational only, not advice. Spotted an error? Post in Site Feedback.