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9 October, 12:54

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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  1. 9 October, 13:59
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    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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