Tuesday, November 29, 2022

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broker dealer affiliation fees

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What are broker/dealer fees?
Fees – The fee for filing a broker-dealer application is $300. If the applicant is filing with CRD, the fee is to be paid directly to CRD in accordance with its procedures. If the applicant is not filing with CRD, the fee is to be paid directly to the Commissioner.
What is broker/dealer affiliation?
An affiliated broker-dealer is an entity which is registered as a broker-dealer which has some sort of affiliation with the hedge fund. Generally this will be through some sort of common ownership (i.e. principals of the hedge fund management company will work at or own a piece of a broker-dealer).
How are broker/dealers compensated?
Firms receive compensation for the sale of products and services, which might include: – Commissions/markups on equities, bonds, and structured notes; – Loads, 12b-1 fees, and share of management fees for mutual funds; – Up-front and trailer payments on hedge funds and private equity funds; and – Advisory fees for ...
Can broker/dealers charge advisory fees?
What Is an Advisor Fee? An advisor fee is a fee paid for professional advisory services on matters related to money, finances, and investments. It can be charged as a percentage of total assets or it may be associated with a broker-dealer transaction in the form of a commission.