Series 63: 4.4 Client Contracts

Taken from our Series 63 Online Guide

4.4 Client Contracts

The client contract is at the core of any relationship between a client and a financial professional. This is especially true of the relationship between a client and an investment adviser. The client contract outlines the services that a securities professional will provide his or her clients, spells out fees or commissions, discloses conflicts of interest, etc. Since this is such an important piece of documentation, the NASAA has put standards in place regarding the contract.

According to NASAA Model Rules, investment advisory contracts must:

• Be in writing

• Outline all services to be provided

• Contain a term (time limit) for the contract

• Contain

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