Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
Wells Fargo's 2027 Deferred Comp Plan Offers Incentives, Penalties
By Rob BurgessIn addition, the monthly hurdle for advisors is set to rise from $13,500 to $16,000 next year.
October 20, 2026
XYPN Begins Search for Next PresidentAfter nearly seven years with the business support platform, Vince Hockett is planning to retire next spring.
October 06, 2026
Rep Recommended Unsuitable Annuity Exchanges: FINRAThe switches led to unnecessary charges and reduced death benefits, an order states.
September 30, 2026
SEC Floats Plans to Expand RIA Performance Fees, Accredited Investor PoolThe proposals are intended to broaden access to private markets.
September 30, 2026
Ameriprise Offers $1K to Advisors Who Transfer Clients to Virtual ServiceThe new incentive program, revealed in an updated Form ADV filing, is for the firm's Personal Wealth Group.
September 28, 2026
JPMorgan Loses Deli Platter FightA judge upheld a $4.25 million arb award to a broker the bank fired over Super Bowl party expenses.
September 24, 2026
SEC to Consider Accredited Investor Expansion Next WeekThe agency will also consider allowing performance fees to be charged in retail funds.
September 24, 2026
UBS Keeps Grid Steady, Adds Incentives in 2027 Comp PlanThe announcement comes after Morgan Stanley said it would raise its revenue hurdles by 10%.