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Product Info - Buy Commission Agreements - Investment Management: Sales Rep

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Sample Investment Trading Broker CommissionPlan Template

iInvestmentTradingBroker Compensation


This document describesthe agreement betweeniii______________(Company)andiv (Broker) regardingterms related to compensation.

Companyand Repenterinto this agreement wherebyBrokerprovides sales services to the

Companin return for compensation specified in this agreement.


This agreement covers thperiod startinfrom and endson.

All commissions will be calculated and paid oncevermonth, for the preceding month. Commissions will be calculated and paid out as part of the next payout cycle, following the month for which commissions are calculated. 

Base Pay:

viSales Rep's basesalary(if any) is specified as part ofaseparateagreement. 

Sales Compensation:

Targeted salecompensation for the full yeais vii .The salecompensation is not capped.

Other Compensation:

Sales Rewill be paid for all traveand lodging expenserelateto saleactivities. Auto travel will be reimbursed at the current federal reimbursement rate viii(Currently$0.56 cents per mile).

Sales Reps will be requireto maintain cellphone apart to conducting sales business.Sales Rep will be provided aallow aceo fix$50 pemonth for cellphone usage.

Client entertainment expenses will be reimbursed as following: Meals: Reimbursable with receipts.

Special Events: Mustbepre-approved. Reimbursable with receipts.

Expenseswillbereimbursedwithin 30 daysof beingpresented withthereceiptsand a completed expensereimbursement form. 

Territory:Rep gets direct creditforallclients assigned to. Assignment ofclients to reps can beby Client, Sector orlocation

CellarStone,Inc. Copyright

Page2of 6


Sales Credits:

Sales Commission is paid to theRep based on thesale ofthe followingproductsthat the

Rep is involved in directly:

Stock Trades

Bond Trades


Options trades

Futures trades


Rep getscreditforspecific clients or specificlocations within clients. Rep earns commissions onlywhenatradeis completed. 


Sales credits are provided to the Rep.Incoming commission/Revenueto thefirm is calculated bymultiplying acommission rate bythe number ofshares sold. 

Sales rep’s commission rate is then applied on this incomingcommission due to the Rep. 

CommissionRate: 25% 


AssumingRep completesthe followingTrades in thefirst month-


# of Shares

Comm. Rate Revenue



0.05 $5,000

Commissions willbecalculated as following:

INTC $5,000at 25% =$1,250 


Sales Credits:

Sales Commission is paid to theRep based on thesale ofthe followingproducts that the

Rep is involved in directly: Bond Trades

Rep getscreditforspecific clients or specificlocations within clients. Repearns commissions onlywhenatradeis completed. 


Sales credits arprovided to the Rep.Incoming revenue to the firm is calculated by finding the differencbetween the buand sell portions of the transaction 

Sales rep’s commission rate is then applied on this in coming commission due to the Rep. 

CommissionRate: 10%


Assuming Rep completes the following Trades in the first month-Stock Amount Trade

GE8.75 $100,000 Buy

GE9.65$110,285 Sell 

Spread $10,285

Commissions will be calculated as following:

GE8.75 $10,285 at 10% =$1,028.5 


Thereis no cap on anypayouts to theRep.


Rep is not due anothecompensation.

Termination oAgreementOn voluntary of Reengagement with the Company, commissions will be paid on transactions dated prior to the termination date only. Any

Amountsowed to the Repwillbeaccordingto regulations after withholdingtaxes and



1.Rep agrees to follow all Federal and Local laws while engaged in providing services to the Companduring the period of thiagreement.

2.Rep shallrepresent theproducts of the companypositivelyand with thehighest standards.

3. Rep shallusethe most ethical practices whileengagingin anysales activity.

4.Rep agrees to protect all confidential material including prospect data, sales data, and client information belonginto the Companand shall take all reasonable care in makinsurthat such confidential material is not disbursed to anyone outside the company.

5. This entireagreement shallbegoverned bythelaws ofthe State of . 

Company Rep

 ______________ ______________ 

By By

 ______________ ______________

Name Name

______________ ______________ 

Date Date

______________ ______________

iAnparothis agreemencabchanged oroverridd enbased onyourneeds


iiThis date will give uinformatioas to whethis agreemenwas written andistinguishit frosimilar other agreements. 


ivFilouthpayee'full namhere

vEnter thstaranendate fothsales commissioplan effectivperiodMoscompanieusthe calendar orfiscayeastaranendate fothese values.Somcompanies manohavaendate


viAlternativelyocaremovthis sectioophrase it such as Base salarispecified iaeparate employmenagreement.

viiTargeted sales compensatiofothfullear

viiiSearch focurrenIRmileagrate.

ixYocapuanamounoyomacompletelremovtrechangbased oyouneeds