Ask Question
11 July, 04:56

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?

+5
Answers (1)
  1. 11 July, 05:18
    0
    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.
Know the Answer?
Not Sure About the Answer?
Get an answer to your question ✅ “A client of yours expresses interest in giving trading authority to a third party on their account held at your Investment Advisory firm. ...” in 📙 Business if there is no answer or all answers are wrong, use a search bar and try to find the answer among similar questions.
Search for Other Answers