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.
Ten tips for surviving an audit
By staff WriterDon't submit to an audit on the spot if it upsets essential client meetings. Don't try to anticipate what the auditor will focus on. Develop a compliance manual for your practice. Don't apply logic to SEC requirements. Assig
July 15, 2008
EBSA Offers 2009 Form 5500 ReliefThe Employee Benefits Security Administration has come out with 40 questions and answers to help employers and benefits advisors apply new Form 5500 benefit plan ...
July 01, 2008
New York To Schedule Comp HearingsNew York state officials plan to hold 3 fact-finding hearings on agent and broker compensation arrangements this month, officials say.
July 01, 2008
Notes Link to Crude Oil, MetalsDeutsche Bank and Invesco PowerShares Capital Management announced the launch of eight exchange-traded notes (ETNs) linked to the performance of industrial metals and crude oil. The...
July 01, 2008
What's New With 12b-1sAndrew "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 30, 2008
New York To Schedule Comp HearingsNew York state officials plan to hold 3 fact-finding hearings on agent and broker compensation arrangements this month, officials say.
June 17, 2008
Ten tips for surviving an auditDon't submit to an audit on the spot if it upsets essential client meetings. Don't try to anticipate what the auditor will focus on....
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...