Series 24: Improper Use Of Discretionary Accounts

Taken from our Series 24 Online Guide

Improper Use of Discretionary Accounts

Member firms who have been granted discretionary power to handle customer accounts must not execute transactions that are excessive in size or frequency, given the financial resources and character of the account. Nor shall a member firm be allowed to exercise discretionary power without first obtaining the customer’s prior written consent.

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Series 24: Improper Use Of Discretionary Accounts

Taken from our Series 24 Online Guide

Improper Use of Discretionary Accounts

Since you're reading about Series 24: Improper Use Of Discretionary Accounts, you might also be interested in:

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