Making referral relationships pay
Subtitle: a complete guide to revenue-sharing partnerships for financial advisers and CPAs
By: Thomas Grady.
Edition: 1st ed.
Publisher: Bloomberg Press
Published: 2006
Place of publication: New York
Language: eng
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
Description: "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.
Notes: Includes bibliographical references and index.
Table of contents: title: Money talks; title: The acts; title: Regulations and registered representatives; title: Regulations and registered investment advisers; title: Compliance; title: CPAs and registered representatives (RRs); title: CPAs and registered investment advisers (RIAs); title: An off-the-shelf alternative; title: Two case studies.