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.
FHA to Cut Fees, Lowering Rates for First-Time Home Buyers
By Joe LightThe change, which Trump could reverse when he takes office, reduces annual insurance premiums by 0.25%.
November 22, 2016
Does Your Fee Schedule Need an Overhaul?Commissions? Fees? Retainers? Why there is no such thing as the perfect fee schedule.
October 31, 2016
Texas investment advisor suspended for overcharging clientsThe Texas State Securities Board suspended Jens Pinkernell and ordered him to repay almost $47,000 in overcharges.
October 31, 2016
Texas investment advisor suspended for overcharging clientsThe Texas State Securities Board suspended Jens Pinkernell and ordered him to repay almost $47,000 in overcharges.
October 28, 2016
The BICE Is Not a DOL Fiduciary Get-Out-of-Jail-Free CardUnderstand when you must use the best interest contract exemption under the DOL fiduciary rule that means even you, fiduciary advisors!
October 26, 2016
8 Questions to Help Advisors Comply With DOL’s Other New RuleLabors White Collar Exemption Rule, which changes the rules on which employees get overtime pay, has a deadline of this Dec. 1.
October 26, 2016
Errors of Commission: AUM Fees Are Better BusinessBroker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
October 13, 2016
Why You ‘May’ Be Headed for SEC EnforcementAn SEC enforcement push involving a small wordmayhas already snared a half-dozen RIAs. Here's how to avoid the same fate.