Review Topics
Practice Exams
Dancing silently in your chair = appropriate celebration. Jabbing your pencil in the air and yelling "IN YOUR FACE, ETS" = not so much.

Unauthorized Third Parties Drill

Dashboard > Violations > Unauthorized Third Parties > Unauthorized Third Parties Drill
  • 1.

    For an individual account, the broker is only allowed to accept orders from that individual. True or false?

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

    We'll give you the first and last question on this exam. So you know we actually did the whole thing.


  • 2.

    If Bubbie decides that she wants to allow Bertie trading authorization in her account, which of the following does she have to do: