Giao dịch, Tài khoản & Hành vi cấmCâu 296 / 398
A representative has valid written discretionary authority accepted by the firm. She buys a suitable stock in the client's account without calling first. Is this a violation?
a.Yes, all trades require a phone call each time
b.Yes, discretionary authority is never valid
c.No, because valid discretionary authority permits trading without prior consultation for each order, if the trade is suitable and properly recorded
d.No, but only if the client is a family member
Giải thích
With valid, firm-accepted written discretionary authority, the representative may enter suitable orders without contacting the customer for each trade, provided orders are marked discretionary and the account is properly supervised. Without such authority, the same trade would be unauthorized.
Trích dẫn luật: FINRA Rule 3260Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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