Free Version

Review Topics
Practice Exams
If you get a question about Star Wars, remember, it's HAN Solo, not HANS Solo. He gets that all the time.


Dashboard > Violations > Commingling


This is an odd-sounding name for the rather odd practice of combining (commingling) client funds and/or assets with the agents’ trading or bank accounts.

Commingling: Mixing up client money and/or assets with the agent bank or trading accounts, often with the intent to deceive. (Not what you did at your eighth grade dance when some of you commingled…yechhhh!).

By commingling funds, the agent is breaching their fiduciary duty to the client and in violation of securities law because it is c...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: The Great Sign Off
Prev: Lalalalalalalala! (With Fingers in Your Ears)

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.