# Compliance

> My employer has compliance policies that say I cant trade stocks on my own Can I still invest with Titan    Yes Titan clients have no discretionary authorit

Source: https://help.titan.com/en_us/compliance-HJt5LJFS9

Last updated: 2026-05-08T16:29:52.603Z

We understand that some employers—particularly in the financial services industry—have policies or regulatory requirements that limit how you can invest. Titan is structured to support these situations, and we’re here to make compliance as smooth as possible.

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**My employer says I can’t trade stocks on my own. Can I still invest with Titan?**  
  

Yes. With Titan, clients do not have discretionary authority to select individual securities in their managed accounts (including Individual Investing, Joint, Roth IRA, and Traditional IRA). Titan manages portfolios on your behalf.

*   If your employer needs proof, please utilize your in-web chat to connect to your wealth team or email **support@titan.com** to request a **Discretionary Authority Letter** that you can share with your employer.  
      
    
*   If your employer requires you to avoid holding a specific security (such as your employer’s stock), you can exclude that stock from your portfolio. Learn more about excluding securities [here](https://help.titan.com/en_us/search?q=stock+exclusion).  
      
    

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**I work at a financial services firm. Can I still invest with Titan?**  
  

Yes. If you’re employed at a FINRA-member firm, Titan can provide documentation confirming that we maintain full discretion over your account. Please connect with your wealth team via the in-web chat or email **support@titan.com** from the address linked to your Titan account, and we’ll be happy to provide the required letter.

Please note: _Employees of FINRA member firms may be required to supply Titan with a_ _**Rule 3210 Letter**_ _prior to account opening. You can read more about this process below._

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**My employer requires duplicate statements and trade confirmations. How do I set that up?**  
  

In some cases, employers require that we send them copies of your account activity. This is covered under **FINRA Rule 3210**, which governs accounts opened by associated persons at outside financial institutions.

Here’s how to set it up:

1.  Ask your company’s compliance department for a **Rule 3210 Letter**.
    
    *   It must be on company letterhead.
        
    *   It should include your first and last name and your Titan account number.  
          
        
2.  Have your compliance manager send the letter directly to **support@titan.com**.
    
    *   For security, we recommend sending personal information via a passcode-protected email.
        
    *   Alternatively, you can obtain the letter and simply provide it to your wealth team.  
          
        

Once we receive the letter, we can work with our custodian, Apex, and can begin providing duplicate statements and trade confirmations as required.