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Broker Commissions Transaction-Based Compensation

UB Greensfelder LLP

When It Comes To Paying Commissions Only To Registered Persons, You Can’t Do Indirectly What You Can’t Do Directly. Or Can You?

UB Greensfelder LLP on

Let’s talk about commissions today. Or, as they are sometimes referred to, transaction based compensation. Specifically, who can receive commissions. Actually, that’s not phrased correctly. The correct phrasing of this...more

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