Broker Dealer Tax Issues

Annuity Suitability Guide - RiverSource
For broker-dealer use only. Step 3: Review annuity tax issues 12-13 Replacements What is an annuity replacement? 15 Refer to the Table of Contents above, which provides you with an overview of this Annuity Suitability Guide. ... Visit Document

Independent broker-dealer Survey 2014 - Financial Advisor
INDEPENDENT BROKER-DEALER. SURVEY 2014. SPONSORED BY. FA ’s 2014 Independent Broker-Dealer Ranking 1. LPL Financial 3. Advisors are given guidance in identifying and resolving issues affecting their . proper notification of advisory fees in compliance with custody rules and regulatory firm ... Access Document

Hunton & Williams Client Alert: IRS Issues New Guidance ...
Broker-dealer or pricing service and the provider is not legally obligated to buy or sell at that price (as long as sales transactions typically occur IRS Issues New Guidance Impacting the Tax Treatment of Distressed Debt Subject: ... Retrieve Full Source

Helpful To Know - SiebertNet
Helpful to Know • NOT use this form to:Do - transfer from one account to another account at your Broker/Dealer. • Use one form for each account you’re beneficiaries and form of ownership) as well as tax issues and financial risks. Consult the appropriate professionals before ... Retrieve Document

Hedge Funds Nuts & Bolts: Seed Investors - YouTube
Hedge Funds Nuts & Bolts: Seed Investors Dechert LLP. Loading contractual and tax-related issues that arise in negotiating and documenting seed deals with cornerstone investors. Category Education; Broker-Dealer Issues for Fund Managers - Duration: 55:59. Dechert LLP 75 views. ... View Video

Dechert LLP - YouTube
Dechert is a global specialist law firm. Focused on sectors with the greatest complexities, legal intricacies and highest regulatory demands, we excel in del ... View Video

Real Estate broker - Wikipedia
A real estate broker or real estate salesperson (often called a real estate agent) Enforceability of oral agreements, what kinds of agreements are required to be in writing, and other important issues vary from state to state. Dual agent ... Read Article

Advising Family Office Clients/Recurring Legal And Business ...
And Broker-Dealer Compliance, Employment, Executive Compensation and Tax and ERISA Issues Today’s faculty features: Broker-Dealer Compliance, Tax and ERISA Issues April 6, 2016 . Steven Huttler, Partner Sadis & Goldberg LLP ... View Doc

Getting The Message Right - NRS Inc
Getting the Message Right: these factors and more represent a significant risk to broker-dealer firms. liquidity, tax features and the like. How a firm handles its advertising review workflow can also have a substantial bearing on how it becomes and stays ... Return Document

New York City Department Of Finance Business Income Taxes ...
New York City Department of Finance UPDATE ON AUDIT ISSUES Business Income Taxes Income Allocation November 25, if it is not a registered securities or commodities broker or dealer “ For tax years beginning on or after January 1, ... Access Doc

Dual-listed Company - Wikipedia
A dual-listed company or DLC is a corporate structure in which two corporations function as a single operating Virtually all DLCs are cross-border, and have tax advantages for the corporations and The contracts cover issues that determine the distribution of these legal and economic ... Read Article

Cash Pooling Arrangements - Fasken Martineau
Cash Pooling Arrangements Session Chair Sam K. Kaywood, Jr. Alston & Bird LLP | Atlanta, Current International Tax Issues in Cross-Border Corporate AFE/Broker-Dealer Exceptions to Subpart F Income Active Financing Exception ... Fetch Doc

Private Equity Fund Formation In 2014 - Media.straffordpub.com
Private Equity Fund Formation in 2014 Navigating Broker-Dealer Developments, SEC Focus on Fund Expenses, Tax Issues, Fundraising and the EU's AIFM Directive ... Access Doc

CALIFORNIA PUBLIC FUND INVESTMENT PRIMER
Role of the Broker/Dealer . 27. Role of the Trustee . 31. California Public Fund Investment Primer (Investment Primer), INVESTMENT describes various issues relating to the investment of tax-exempt bond pro-ceeds and pension funds. • ... Fetch Full Source

New Fidelity Research Finds Advisors Increasingly Focused On The Markets And Downside Protection
Lower-quality fixed income securities involve greater risk of default or price changes due to potential changes in the credit quality of the issuer. The municipal market is volatile and can ... Read News

Internal Revenue Service Memorandum - IRS tax Forms
ISSUES 1. Whether Taxpayer qualifies as a dealer in securities? adopted a mark to market method in Year 1 for tax purposes is to look to the valuations One of the subsidiaries, Company B, is a registered broker/dealer entity. Taxpayer and ... Read Document

Broker-Dealer Fiduciary Duty: Recommendation Of The Investor ...
Recommendation of the Investor as Purchaser Subcommittee . Broker-Dealer Fiduciary Duty . Findings: • Both broker-dealers and investment advisers play an important role in helping Americans important implementation issues, ... View Doc

MSRB And FINRA Issue Joint Notice Cautioning Broker-Dealers ...
April 14, 2016 Current Issues Relevant to Our Clients broker-dealer arm or affiliate involved in the structuring of the To the extent that any part of this summary is interpreted to provide tax advice, (i) ... View Full Source

Offering Cross-Border Investment Products And Advisory ...
§ 49E:3.1 Tax Considerations [A] U.S. Mutual Funds [B] U.S. broker-dealer or investment adviser providing brokerage and/or Offering Cross-Border Investment Products § 49E:3.1 (Inv. Adv. Reg., Rel. #2, 10/12) 49E–5. ... Fetch Document

BROKER-DEALER PRACTICE - SIFMA
Assist both large and small broker-dealer firms in applying for membership and business environment & legal issues confronting broker-dealers. When tax issues, mergers and acquisitions of financial services companies, and offshore funds. This experience, ... Read Here

Broker-Dealer Issues For Private Equity Funds
• Don’t ignore broker-dealer issues … tax assessments, etc. to assess assets and a consumer report or credit report from at least one consumer reporting agency to assess liabilities; Broker-Dealer Issues for Private Equity Funds ... Get Content Here