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Tag: FINOP

Expense Sharing

Expense Sharing with Third Parties for B/Ds

Posted on April 25, 2019September 24, 2019 by SCM Communications

Expense sharing agreements between broker-dealers and third parties are a hot topic for FINRA and the SEC. Firms and their FINOPs should fully understand the guidelines provided within Notice to Members 03-63.

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Posted in Broker-Dealer, FINRA, Rules and Regulations Tagged Broker-Dealer, Expense Sharing, Expense Sharing Agreement, FINOP, FINRA, NTM 03-63

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