Series 14: 8.3.1.2. Trading Authority

Taken from our Series 14 Online Guide

8.3.1.2. Trading Authority

The owner of an individual account can give permission to another individual to trade in his account. This is called trading authority, and it may be given to any authorized third party. Trading authority gives the third party authority to buy and sell securities or make inquiries concerning the owner’s account. Trading authority actions must align with the investor’s stated goals. An investor authorizes the

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