SIE: 9.2.16.6. Retiring Representatives

Taken from our SIE Online Guide

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9.2.16.6. 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
• Customers continue to be customers of the firm
• The representative signs a bona fide contract while still registered with the firm, whic

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