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Performance communications require this disclaimer. Supervisors confirm inclusion under Rule 2210.

KYC rules require financial and risk profile data. Supervisors ensure new accounts meet FINRA Rule 2090 obligations.

Options discretionary accounts require approval by a Registered Options Principal (ROP). Supervisors must enforce proper recordkeeping and suitability reviews.

ETF ads must disclose risks like leverage and tracking error. Supervisors enforce balanced risk/reward disclosure under Rule 2210.

A Power of Attorney (POA) or trading authorization grants discretionary authority. Supervisors must confirm written authorization is obtained and on file before discretionary trading occurs. Unauthorized discretion is a serious regulatory violation.