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.
Tech Trouble, Ops Issues
By Kara P. StapletonWhich areas of operations and technology are most challenging for your firm? That was the main question The Collaborative and Advisor Perspectives asked in a...
August 01, 2008
T. Rowe's Rogers Shares 'An Investor's Perspective'(Chicago) Brian Rogers, chairman and chief investment officer of Baltimore-based T. Rowe Price, gave the final keynote presentation during to the 2008 Morningstar Investment Conference...
July 29, 2008
Team playingWorking as part of a team can help advisors secure more assets, according to Kristin McNamara for Dow Jones. She writes, "in the fierce competition...
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.