8.1k views
2 votes
Regarding the NASAA interpretation on splitting of commissions, registered agents may split commissions with:

1 Answer

4 votes

Answer:

Step-by-step explanation:

According to the North American Securities Administrators Association in regards to splitting commission, it is only permitted between individuals who are registered with the NASAA and currently work at the same broker-dealer. If only one individual is registered they cannot split commissions with a non-registered individual, the same goes for individuals working in different broker-dealers. Doing so is illegal and will result in various consequences.

User Ram Khumana
by
4.6k points