Making referral relationships pay : a complete guide to revenue-sharing partnerships for financial advisers and CPAs /

"Explains the business-structure and regulatory steps for setting up compensation-sharing partnerships between financial advisers and CPAs. Includes perspectives of registered representatives (governed by the NASD) and the registered investment adviser (governed by state laws and by the Securit...

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Bibliographic Details
Main Author:	Grady, Thomas, 1949-
Format:	Book
Language:	English
Published:	New York : Bloomberg Press, 2006.
Edition:	1st ed.
Subjects:	Investment advisors > Legal status, laws, etc. > United States. Accountants > Legal status, laws, etc. > United States. Investment advisors > Fees > United States. Accountants > Fees > United States. Investment advisor-client relationships > United States. Strategic alliances (Business) > Law and legislation > United States. Business referrals > United States. Partnership > United States.
Online Access:	Table of contents

Description
Summary:	"Explains the business-structure and regulatory steps for setting up compensation-sharing partnerships between financial advisers and CPAs. Includes perspectives of registered representatives (governed by the NASD) and the registered investment adviser (governed by state laws and by the Securities and Exchange Commission). Also addressed: hybrid case of dual registrations. Includes a regulatory overview, case studies, and sample documents"--Provided by publisher.
Physical Description:	xiii, 251 pages ; 24 cm.
Bibliography:	Includes bibliographical references and index.
ISBN:	157660182X (alk. paper)