Title: Making referral relationships pay
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.
Subjects: Accountants, Business referrals, Fees, Investment advisor-client relationships, Investment advisors, Law and legislation, Legal status, laws, Partnership, Strategic alliances (Business), Intergovernmental fiscal relations, Intergovernmental tax relations
Places: United States