Tag Archives: FINRA
FINRA Bonus Disclosure Rule to SEC
Dear Friends, On March 10, 2014, FINRA filed a proposal with the SEC requiring brokers who receive more than $100,000 in incentive compensation to switch firms, to disclose to clients how much they are paid. Brokers would disclose a compensation range in $500,000 to $1,000,000 bands. The proposed rule was approved by FINRA in September 2013, in an effort to […]
Differences Between Capital Introduction and Third Party Marketing
If you ask ten different hedge fund professionals to explain the difference between third party marketing and capital introduction, you are bound to get ten different answers. Though often confused, each practice serves a vital role in attracting capital to the industry. Recently in his Hedge Fund Capital Introduction Blog, Evan Rapoport, Co-founder of HedgeCo Networks, spent some time dissecting […]
