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A registered representative wants to open an account for himself at a different financial institution.

A registered representative wants to open an account for himself at a different financial institution. Under FINRA rules, which of the following accounts requires prior written consent from his employing broker-dealer?

A.

A 529 savings plan account established for his grandchild

B.

Mutual fund accounts held directly with the fund company

C.

Variable contracts registered under the Investment Company Act

D.

An investment advisory account in which securities transactions are effected

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Jan 2, 2026
  • Questions: 188
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