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26 August, 14:16

A customer's accountant telephones an investment adviser and wishes to place orders for the customer's account. Which statement is TRUE under the NASAA Statement of Policy?

A. The investment adviser can accept orders for 10 business days under the accountant's oral instructions

B. The investment adviser can accept any instructions from the accountant

C. The investment adviser cannot accept any instructions from the accountant unless the customer authorizes this in writing

D. The accountant must be a CPA in that State for the investment adviser to accept the accountant's instructions

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Answers (1)
  1. 26 August, 14:24
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    C. The investment adviser cannot accept any instructions from the accountant unless the customer authorizes this in writing
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