Register
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
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
4.0k 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
4.4k points
Ask a Question
Welcome to QAmmunity.org, where you can ask questions and receive answers from other members of our community.

4.6m questions

5.9m answers

Other Questions

Which of the following should be considered last when searching for financing? Family members Banks Commercial finance companies Credit cards I'm guessing it's C but idk
When goods are produced at the lowest possible cost, an economy is said to have achieved:?
Which quality ensures that you are in a better position to represent yourself? A. self-confidence B. self-management C. punctuality D. mutual respect E. avoidance of conflict
Art is charged with kidnapping. After listening to all the evidence, 11 of the 12 jurors found him guilty. The twelfth juror voted he was not guilty. Has Art been convicted of the crime?
Create an insurance plan. As you create the plan, think about all of the risks this family faces and how they can protect themselves from financial loss. Next to each type of insurance that you list in
Link Copied!