Hillel Cohn

Morrison & Foerster LLP

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Referral Fees and Commission Sharing - When May Broker-Dealers Share Their Fees with Non-Brokers?

FINRA recently filed proposed rule changes with the SEC addressing when broker-dealers may pay referral fees or otherwise share compensation with persons who are not registered as broker-dealers. The proposed rule changes are...more

10/17/2014 / Broker-Dealer , Fee-Sharing , Financial Industry Regulatory Authority (FINRA) , Proposed Regulation , Referral Fees , Securities and Exchange Commission (SEC) , Securities Exchange Act

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Hillel Cohn

Morrison & Foerster LLP

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Latest Posts › Referral Fees

Referral Fees and Commission Sharing - When May Broker-Dealers Share Their Fees with Non-Brokers?

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