Making Referral Relationships Pay
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About This Book
"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.
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