Challenge Your Exam Readiness With Our Free Series 65 License Practice Questions

Question # 23

Under NASAA rules, which situation requires written client consent before an adviser may act?

Options:

A.

Execution of discretionary authority in a trading account

B.

Sending clients a model portfolio suggestion

C.

Receiving an unsolicited client order

D.

Collecting advisory fees quarterly in advance

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Series 65 License Overview

Name Series 65 License
Code Series 65 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 65 License Questions