Business, 05.08.2019 17:10 lalaokawami0912

Aclient is in the process of opening a new account at a broker-dealer. the client has told the agent that her investment objective is capital preservation. when performing the suitability determination, the client refuses to disclose net worth and previous trading experience. the client also wants the agent to enter trades in the account without specific direction from the client, but has not yet returned a signed power of attorney. the representative is:
a. not permitted to enter an order in the account until the power of attorney is receivedb. permitted to place an order for a security that has low volatility and that pays a substantial dividendc. only permitted to accept unsolicited trades in the accountd. permitted to enter trades in the account with the express advance approval of the branch manager

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Aclient is in the process of opening a new account at a broker-dealer. the client has told the agent...

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