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.
2010 Q4 Earnings: Goldman Sachs Profits Plummet 53%
By Joyce HansonGoldman Sachs' Q4 2010 earnings report met analysts’ expectations but disappointed them just the same because the Wall Street giant’s earnings dropped 52% from a record high in 2009.
December 14, 2010
New Jersey Becomes 19th State to Ban Private Transfer FeesOn Monday, New Jersey became the 19th state to ban private transfer fees on real estate, also known as “reconveyance fees,” “capital recovery fees” or “home resale fees.”
December 07, 2010
An Insurance Producer's How-To Guide to Evaluating HSA CustodiansWhen health savings accounts (HSAs) were introduced in 2004, the IRS required that the plans be held by a qualified custodian or trustee, similar to IRAs.
December 07, 2010
Attack of the Spin DoctorsThe CFP Board claims CFPs are "overwhelmingly" behind hiking their fees to pay for the Board's "awareness campaign," but CFPs tell me a different story.
December 06, 2010
An Insurance Producer's How-To Guide to Evaluating HSA CustodiansWhen health savings accounts (HSAs) were introduced in 2004, the IRS required that the plans be held by a qualified custodian or trustee, similar to IRAs.
November 19, 2010
What LPL's IPO Filing Reveals About the Largest IBD, and the IndustryPhilip Palaveev describes what LPL's IPO filing suggests about the sources of the firm's revenue, and how independent broker-dealers survive.
November 15, 2010
Broker Compensation Under Regulatory ScrutinySEC Chairman Mary L. Schapiro speaks about conflicts in broker incentives and bonuses.
November 11, 2010
How Do You Stack Up Against Your Peers Financially?To enhance your firm's operating performance, analyze that performance and compare it to that of the best firms in the industry.