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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