Business PracticesPregunta 61 de 100
An agent proposes to share in the profits and losses of a customer's account. Under NASAA rules, this arrangement:
a.Is prohibited under all circumstances for every registered person
b.Is permitted for an agent only with the written authorization of both the customer and the employing broker-dealer, and generally only in proportion to the agent's own capital contribution
c.Is permitted whenever the customer requests it orally
d.Requires only the branch manager's verbal approval
Explicación
Sharing in a customer account is permitted for an agent only where both the customer and the employing broker-dealer give written authorization and the sharing is proportionate to the agent's financial contribution to the account. Oral requests and verbal approvals do not satisfy the rule. Investment adviser representatives face a stricter standard, but the flat 'never for anyone' answer overstates the rule for agents.
Referencia Legal: NASAA Model RulePractica las 100 preguntas gratis — sin registro.
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