Business Practices第 61 / 100 题
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
解析
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.
法律依据: NASAA Model Rule免费刷完整 100 道题库 — 无需注册。
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