If you unknowingly traded ahead of your firm’s research report for a specific stock, but your compliance team caught it before the trade had settled, and then executed a trade correction to reverse the trade, would this be something that would warrant you to answer question D (below) (or any of the other questions, for that matter) as Yes?
“D. In the last two years, have you ever been found to have aided, abetted, counseled, commanded, induced, or procured the violation of any securities- or commodities-related law, regulation, or rule?”
I would ask CFAI directly. Answering ‘No’ might be perceived as fraudulent. I hear they are pretty good about answering these types of questions and since you show concern that you might have done something not allowed by mistake, I would be surprised if you get sanctioned for it. But I am clearly no expert (haven’t passed level 1 yet).
I guess it depends on the nature of your “unknowingly”. Should you have known? Did you fail to follow your firm’s compliance rules by placing the trade without clearing it first?