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.
What's New With 12b-1s
By Staff WriterAndrew "Buddy" Donohue, director of the SEC Office of Investment Management, revealed some more details about how 12b-1 fees would likely be treated under a...
June 16, 2008
Taking Stock: Things to Do When the Markets MisbehaveJust when it looked like the stock market might be turning the corner, oil prices spiked, throwing airlines and many other sectors into a tailspin...
June 05, 2008
UnitedHealth Invests In Claims VentureUnitedHealth Group Inc. has bought a minority interest in Fidelity Sedgwick Holdings Inc.Fidelity Sedgwick, Memphis, Tenn., is a unit of Fidelity National Financial Inc., Jacksonville, ...
May 28, 2008
Banks push reverse mortgages for boomersAccording to the Wall Street Journal, reverse mortgages are one part of the mortgage market that aren't drowning in the subprime sea. Reverse mortgages can...
May 01, 2008
Changes in Charitable ComplianceWarning! Warning! Do not drive or operate any machinery or heavy equipment while reading this article. The reading of this article may cause sudden dizziness...
April 02, 2008
Witnesses Clash Over Plan Disclosure RulesGroups representing large and small benefit plan service providers are continuing to battle over proposed reporting regulations.Witnesses squared off Monday at a hearing organized by ...
March 01, 2008
Words of WisdomLike many baby boomer financial advisors today, a number of my clients are approaching what you might call retirement age. Of course, these days, that...
February 01, 2008
More Than WordsLarge organizations consist of many layers, from the CEO and the board of directors down to the client-facing advisor. Just like the game of telephone...