An agent taking which of the following actions would be committing a violation?

An agent taking which of the following actions would be committing a violation?


A) Buying securities in a joint account at the request of one party only.

B) Selling securities from a corporate account by using limited power of attorney trading authority for the account.

C) Selling securities from a minor's custodial account without the custodian's consent but with the beneficial owner's consent.

D) Buying securities in a cash account with the consent of the customer.



Answer: C) Selling securities from a minor's custodial account without the custodian's consent but with the beneficial owner's consent.


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