Investment Advisers: Discretionary and Non-Discretionary Account Handling

Overview

This course provides an overview of discretionary and non-discretionary account handling through a look at the difference between the two, the applicable rules, and the consequences of mishandling these accounts. 

Learning Objectives

Students who successfully complete this course will be able to:

  • describe and define discretionary authority
  • describe and define non-discretionary authority
  • understand the rules applicable to discretionary account handling
  • identify the consequences for failure to obtain the proper authority and supervise these accounts

Designed for

Investment Advisory

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