Series 14: 5.2.4.3. Retiring Representatives

Taken from our Series 14 Online Guide

5.2.4.3. 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

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.4.3. Retiring Representatives, you might also be interested in:

Series 26 - Review of Customer Accounts

Series 7 - 12.5.1 Over-Allotted Issues: Greenshoe Option

Series 26 - Customer Disclosure Rules

Series 99 - 1.2.2.7.6 Short Selling in a Margin Account

Series 53 - Types of Revenue Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I passed the Series 79 (on my first attempt) with help from Solomon Exam Prep. I found the study book and online exams to be quite helpful, and would recommend Solomon as a study resource for anyone.

Joseph H.; Denver, CO

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

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

Series 14: 5.2.4.3. Retiring Representatives

Taken from our Series 14 Online Guide

5.2.4.3. Retiring Representatives

Since you're reading about Series 14: 5.2.4.3. 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 →