Giao dịch, Tài khoản & Hành vi cấmCâu 273 / 398
A customer's adult son wants authority to place trades in his elderly father's individual account. What is generally required for the son to do so lawfully?
a.Nothing, because he is a relative
b.A written trading authorization (such as a power of attorney) on file with the firm
c.Only the son's verbal assurance that his father agreed
d.A joint tenants in common registration in the son's name
Giải thích
A third party may only trade in another person's account with proper written authorization, such as a limited or full power of attorney, on file with the firm. Being a relative does not by itself confer trading authority.
Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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