RegulationsPregunta 54 de 110
A registered representative may share in the profits and losses of a customer's account only if:
a.The customer requests it verbally and the representative keeps notes
b.The firm and the customer give prior written approval and sharing is proportionate to the representative's financial contribution
c.The representative contributes at least 50% of the account's capital
d.The account is a joint account with an immediate family member of the customer
Explicación
Profit sharing is permitted only with written consent from both the member firm and the customer, and the representative's share must match the money actually contributed. Verbal permission is never sufficient. There is no 50% contribution rule, and a family relationship between customer and representative does not by itself authorize sharing.
Referencia Legal: FINRA RulesPractica las 110 preguntas gratis — sin registro.
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