Pay-to-Play Rules & Revenue Sharing: A Best Practices Guide
This webinar focused on distribution-related conflicts of interest with a focus on pay-to-play and revenue sharing. The webinar also addressed recent pay-to-play cases involving government officials and SEC Rule 206(4)-5. Finally we also discussed how the SEC seeks to limit various forms of revenue sharing received by advisers. The webinar was co-hosted with Todd Cipperman of Cipperman Compliance Services, LLC.
- An introduction to todays topics, Revenue sharing, wrap progames, pay to play & more (3:54)
- Revenue sharing - Receiving (11:48)
- Revenue sharing - Paying (11:42)
- Pay to Play: Rule 206(4)-5 (5:24)
- A history of pay to play enforcement (6:21)
- FINRA's new Pay to Play rule (1:13)
- Practice points from todays webinar (2:31)
- Pay-to-Play Q&A (4:49)
You can access the slides from this webinar here.
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