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. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements.

Find this course for your license

License or Certification

Regulator

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

Course Information

Adding additional credit may change exam requirements.

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