Series 6: 2.2.8.2. Trading Authority

Taken from our Series 6 Top-off Online Guide

2.2.8.2.  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 th

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