Series 22: Cash Compensation

Taken from our Series 22 Top-off Online Guide

Cash Compensation

Member firms cannot accept cash compensation with respect to a DPP offering unless all of the following conditions are met:

All cash compensation is paid directly to the member and distributed through the member to its associated persons.

Compensation paid is reflected on the member’s books and records and made clear that it is in connection with the offering.

All cas

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