Free Version

Dashboard
Review Topics
Quizzes
Practice Exams
Flashcards
Vocabulary
Test like an eagle: don't let time keep on slipping, slipping, slipping...into the future. Or at least past the time limit.

Unauthorized Transactions

Dashboard > Violations > Unauthorized Transactions

Unauthorized Transactions

Unauthorized transactions is a phrase no client wants to hear: These are transactions that occur in a client’s account that have not been authorized prior to execution. FINRA defines it as “sale or purchase of securities without the investor’s prior knowledge and authorization” and lists it as one of the top four complaints they receive from brokerage customers.

(http://www.finra.org/Investors/ProtectYourself/BeforeYouInvest/AvoidCommonInvestorProblems/)

Back in the good old days, the b...

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

$63.63
Next: And While We're on the Subject...
Prev: Fie on You!

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