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.
Will the SEC Ban 12b-1 Fees?
By Melanie WaddellTheir use is declining as the SEC targets conflicts of interest. But are they a "lesser evil"?
December 15, 2021
Wells Fargo Simplifies Comp Hurdles for 2022At the same time, the wirehouse has enhanced the bonus opportunities for its registered representatives.
December 14, 2021
RIAs 'Must Do More to Justify Their Fees': Mariner Wealth's BicknellThe executive also weighs in on working at the office, what books he's reading and his favorite sport.
December 07, 2021
CFP Exams Start March 8The 2022 exam will include an updated list of principal knowledge topics, according to the Certified Financial Planner Board of Standards.
December 03, 2021
Morgan Stanley Adjusts Advisor Incentives for 2022 but Keeps Grid IntactStarting in July, net acquired asset growth will be focused on all client balances.
November 30, 2021
5 Reasons Going RIA Beats the IBD ModelIt's not an accident that the RIA channel is the fastest growing.
November 19, 2021
Employees Demand Better Financial Benefits: Morgan StanleyA survey finds that 61% of employees are paying more attention to financial benefits than they did a year ago.
November 17, 2021
Commissions Will Be Gone Within a Decade: American Portfolios' DolberThe industry veteran and LUMINARIES 2021 winner also says subscription-based services are on the rise.