SIE: 9.2.16.6. Retiring Representatives

Taken from our SIE Online Guide

We have an Audiobook for this text!

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

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.2.16.6. Retiring Representatives, you might also be interested in:

Series 79 - Facilitating the Closing

Series 66 - Protective Provisions

Series 7 - Exercise

Series 65 - 1.4.1.2.3. Shareholders’ Equity

Series 3 - 6.3.1.3.1. Buy and Sell Stop Orders

Series 50 - Bond Refundings

Series 7 - 2.6 Interest Rates and Bond Prices

Series 24 - Close Corporations

Series 24 - 3.1.2. Customer Identification Verification

Series 24 - Definition of Investment Adviser

Series 24 - Small Issues: Regulation A

Series 54 - Exercise

Series 7 - 3.2.1. General Obligation Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: 9.2.16.6. Retiring Representatives

Taken from our SIE Online Guide

9.2.16.6. Retiring Representatives

Since you're reading about SIE: 9.2.16.6. Retiring Representatives, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →