Review Topics
Practice Exams
Do buffalo have elbows? I just wanted to make sure I could check my watch during the test.


Dashboard > Violations > Commingling


This isn't what you did at your eight-grade dance when the boys actually spoke with the girls.

Commingling is an odd-sounding name for the rather odd practice of combining client funds and/or assets with the agents' trading or bank accounts—often with the intent to deceive.

By commingling funds, the agent is breaching their fiduciary duty to the client and is in violation of securities law—it is considered highly unethical to mingle client funds with agent funds.

Actually, scratch that. It...

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

Next: Street Names  
  Prev: Refusing or Ignoring a Customer's Legitimate Instructions