Series 14: 5.2.2.3. Retiring Representatives

Taken from our Series 14 Online Guide

5.2.2.3. Retiring Representatives

A member firm may continue to pay commissions to a registered representative after his retirement if:

Commissions are derived from the representative’s customer accounts

His customers continue to be customers of the firm

The representative signs a bona fide contract while still registered with the firm, which de

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