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24-05-2022
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MBDtcfPBwPA customer of a member firm has just invested $100,000 into an equipment leasing DPP. Under FINRA rules, the maximum compensation allowable to the firm is

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Tundexi Tundexi

27-05-2022

The sum of $10,000 is the maximum compensation allowable to the firm that is allowed under the FINRA rules.

What is the rule of the maximum compensation allowable?

The Industry rules allow a maximum total underwriting compensation of 10% of the gross proceeds of the offering in a limited partnership.

Also, any subsequent trades that are executed in the secondary market are subject to FINRA's 5% policy on commissions and markups.

Read more about FINRA rules

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