158k views
0 votes
A client of yours expresses interest in giving trading authority to a third party on their account held at your Investment Advisory firm. Regulations from the NASAA pertaining to this scenario require which of the following?

User Ruli
by
8.3k points

1 Answer

6 votes

Answer and Explanation:

NASAA = North american Securities Administrators Association

NASAA would require written authority in order for trading as expressed by client to a third party. The written authority is very important according to the regulations by NASAA.

User Thomas Wagenaar
by
8.3k points
Welcome to QAmmunity.org, where you can ask questions and receive answers from other members of our community.