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Independent Sponsor Economics and Transaction-Based Compensation Under Broker-Dealer Regulations

Article | October 10, 2017

Despite the potential change in focus of SEC resources to protecting retail investors, there remains a need of independent sponsors to continue to ensure compliance with broker-dealer regulations. This article discusses and analyzes the much-publicized enforcement action against Blackstreet Capital Management, digging deeper into Management Fees, Carried Interest and Closing Fees with respect to broker-dealer registration.

Read "Independent Sponsor Economics and Transaction-Based Compensation Under Broker-Dealer Regulations" in its entirety.

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