Series 26: Restrictions On Member Compensation

Taken from our Series 26 Online Guide

Restrictions on Member Compensation

Compensation received for the sale and distribution of pooled investment vehicles, such as variable annuities, mutual funds, and DPPs, is strictly regulated to prevent incentivizing a broker to sell an issuer’s or sponsor’s product against the best interests of its customers.

In connection with the sale and distribution of pooled investment vehicles, no associated person shall accept any compensation from anyone other than the member firm by which that person is employed, unle

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