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.
SEC Issues FAQ on 12b-1 Fee Disclosure Obligations
By Melanie WaddellThe FAQ is seen as a response to complaints on the SEC's Share Class Selection Disclosure Initiative.
September 17, 2019
US Among Top 3 Global Markets for Low Fees: MorningstarMorningstar graded 26 markets on their investor-friendliness in the area of fees and expenses.
September 03, 2019
Broadridge's Latest Acquisition Is Financial Database ServicesThe purchase will strengthen Broadridge's advisor compensation capabilities.
August 21, 2019
Sen. Warren Presses Wells Fargo on Fees for Closed AccountsThe senator has given the bank several weeks to answer questions about the alleged charges.
July 18, 2019
'Boring' Year Ahead for Merrill Comp Plan Changes, Exec SaysAfter lots of tinkering over the past two years, the Thunder Herd's Growth Grid should see little change in 2020, an executive says.
July 10, 2019
Why Now's the Time to Start Making Comp PlansWorking on compensation structures during the summer makes for better planning and easier times later in the year.
July 03, 2019
Massachusetts Finalizes Fee Table for RIA FirmsThe fee table will be required for all state-registered RIAs to file beginning January 1, 2020.
July 03, 2019
7 Things Your Friends Should Know About Your BusinessIf they know what you do, they'll come to you instead of your competitors when they need advice.