SIE: Payments To Unregistered Persons

Taken from our SIE Online Guide

Payments to Unregistered Persons

Members or their associated persons may not pay any compensation, fees, concessions, discounts, commissions, or other allowances to any non-registered persons, such that receiving this payment would require them to be registered as a broker-dealer.

N

Since you're reading about SIE: Payments To Unregistered Persons, you might also be interested in:

Solomon Exam Prep Study Materials for the SIE
Please Enable Javascript
to view this content!