Model Investment Advisory Contracts

NRS Model Investment Advisory Contracts is a set of seven contracts covering discretionary and non-discretionary portfolio management and financial planning services. Prepared by two premier law firms that specialize in securities law and investment advisory areas, these contracts will be updated periodically to help you remain current with industry standards. Contracts cover such critical issues as affiliated brokerage, services and fees, discretionary brokerage, ERISA bonding, Bailey-directed brokerage, soft dollars, conflicts of interest, proxy voting, and much more.  The hardcopy contracts are supplied with a companion disk in Microsoft Word, and are easily tailored to fit the individual needs of your firm and your clients.

Optional Model Solicitor's Agreement

Create specific client disclosures and meet regulations quickly and easily with NRS' Model Solicitor's Agreement.  Supplied in hardcopy and companion disk in Microsoft Word format, the NRS Model Solicitor's Agreement can be tailored to different solicitor relationships and to match your existing forms.

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