Series 66: 9.3.3. Trading Authorization

Taken from our Series 66 Online Guide

9.3.3. Trading Authorization

As previously mentioned, discretion is when a securities professional is given written permission by a client to buy or sell securities in the client’s account as the professional sees fit. This stands in contrast to a non-discretionary relationship or account, where the adviser has to get permission from a client prior to every transaction in the client’s account.

In addition to these two options, there is a third option for designating who can initiate transactions in a client account. Under a trading authorization,

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