Series63 Exam Dumps | Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed

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Uniform Securities Agent State Law Examination
FINRA.Series63.v2023-12-18.q101
Question 91

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Question 91/101

Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A. Huey only

B. either Huey or Dewey or both

C. Dewey only

D. Either Huey, Dewey, or Louie or any combination of the three

Correct Answer: A

Explanation
Don can enter a commission-splitting agreement with Huey only since he is the only one who is also working for GetErDone Broker-Dealers. It is considered unethical to split "commissions, profits or other compensation.
. .with any person not also registered as an agent for the same broker-dealer," under NASAA Model Rules.

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