moefire9511 moefire9511

03-01-2020
Business

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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?

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shaikhrabi shaikhrabi

03-01-2020

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.

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