The Practice: Fees and compensation
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June 23, 2017How Indie Firm Clout is Growing to CompeteSome firms are negotiating minimums and fees on complex products.No Comments
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June 23, 2017FAs Unhappy with How Firms Handle Pay Post-DOL RuleSome advisors say their firms haven’t properly addressed compensation.No Comments
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June 21, 2017Payouts Fall for Reps at Most Top-10 Paying BDsOnly three of the top 10 broker-dealers increased average payout to their reps.No Comments
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June 21, 2017CFP Wants to Extend Fiduciary DutyProposed changes also aim at a more transparent definition of “fee-based” advice.Last Comment: June 21, 2017
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June 20, 2017Pershing Increases Focus on Top RIAsCompany cut 130 firms from its custody unit in the past three years.No Comments
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June 19, 2017Small Wirehouse Teams Are Sick of NeglectFinancial advisors aren’t keen to stay where they’re not wanted.No Comments
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June 14, 2017Schwab Sees FAs Adding Services Without Upping FeesStudy finds advisors nonetheless confident about growth prospects.No Comments
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June 13, 2017Merrill Lynch Faces $25M Settlement Over 401(k) FeesCase involves failure to pass on mutual fund sales fee waivers.No Comments
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June 9, 2017The DOL's Fiduciary Rule is Here … But For How Long?Advisors are ready for the DOL rule but implementation questions remain.No Comments
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June 9, 2017Edward Jones Backtracks on DOL Rule Commission BanBrokerage to roll out new account option offering mutual funds in commission-based accounts.Last Comment: June 9, 2017
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