Laws & Regulations第 18 / 100 题
An agent shares in the profits and losses of a customer's account. Under NASAA standards, this is permitted only if:
a.The customer verbally agrees at the point of sale
b.The agent shares proportionally with no written approval
c.The account earns a profit that quarter
d.The customer and the broker-dealer give written consent and sharing is proportional to the agent's own contribution
解析
Sharing in a customer account is prohibited unless the agent obtains written authorization from both the customer and the broker-dealer, and shares only in proportion to the agent's financial contribution. Verbal agreement alone is insufficient. This rule limits conflicts of interest.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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