Making referral relationships pay : a complete guide to revenue-sharing partnerships for financial advisers and CPAs /
Grady, Thomas,1949-
New York : Bloomberg Press,
2006.
"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.
"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.
Includes bibliographical references (p. 243-244) and index.
Money talks -- The acts -- Regulations and registered representatives -- Regulations and registered investment advisers -- Compliance -- CPAs and registered representatives (RRs) -- CPAs and registered investment advisers (RIAs) -- An off-the-shelf alternative -- Two case studies.
Investment advisors
Accountants
Investment advisors
Accountants
Investment advisor-client relationships
Strategic alliances (Business)
Business referrals
Partnership