Question

The spouse of a brokerage firm employee wants to open a brokerage account so that he can trade individual stocks. If the account is opened at a firm that does not employ her spouse, the employee of the firm is required to:_________

Answer 1

Answer:

obtain the prior written consent of her employing firm in order to open the account.

Explanation:

According to my research on brokerage firm rules and regulations, I can say that based on the information provided within the question the employee of the firm is required to obtain the prior written consent of her employing firm in order to open the account. This is so that both brokerage firms are aware of the situation and make so that there are no conflicting interests or insider information leaking.

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