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Registered Rep.
January 16, 2013
Stan Luxenberg |
The Rise and Fall of Load Funds All hail no loads and ETFs! Will the move away from loads and commissions continue? Yes, says Avi Nachmany, research director of Strategic Insight. "The old commission business is fast disappearing," says Nachmany.   |
The Motley Fool
September 6, 2006
Dan Caplinger |
Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself. |
Financial Planning
October 2, 2007
Jeff Auld |
Save 12b-1 Fees Independent reps and smaller clients will suffer if the SEC decides to cut this form of compensation. |
The Motley Fool
October 15, 2010
Bill Barker |
Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee. |
Financial Advisor
April 2004
Gregory Bresiger |
Fund Industry Dilemma: Who Pays The Bills? A new bill calls for the elimination of 12b-1 fees. |
Investment Advisor
April 2008
Melanie Waddell |
12b-1 Headed for an Overhaul After nearly a year of silence, the SEC has decided to revamp 12b-1. |
Registered Rep.
May 1, 2005
Stan Luxenberg |
Will 12b-1 Fees No Longer Be? The mutual fund fees known as 12b-1s have morphed into something few envisioned when the SEC created them 25 years ago. With regulators now poised to address that transformation, many reps are sweating about the future of a reliable income stream. |
The Motley Fool
August 24, 2007
Amanda B. Kish |
Fund Fees Under the Magnifying Glass Make sure you know how much you're paying for your fund. |
The Motley Fool
July 28, 2010
Selena Maranjian |
The Amazing Disappearing, Reappearing Fund Fee A fee by any other name will still cost just as much. |
The Motley Fool
November 15, 2010
Dan Caplinger |
Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds. |
Financial Advisor
May 2004
Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales. |
The Motley Fool
May 8, 2007
John Rosevear |
Are Advisor-Sold Funds Ever Worth It? In an era when anyone can get market-level performance with a few minutes' effort by buying an index fund from somewhere like Vanguard or T. Rowe Price, advisor-sold funds are harder to justify than ever. |
The Motley Fool
October 27, 2004 |
Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings. |
The Motley Fool
October 18, 2010
Dan Caplinger |
It's Time to Take Back Your $10 Billion Whether you think 12b-1 fees are bilking investors or a fair way to compensate financial professionals, the SEC needs your opinion. |
Investment Advisor
August 2007
Melanie Waddell |
Will 12b-1 Fees Survive? Will the securities and Exchange Commission repeal 12b-1 fees? It depends on whom you ask, but SEC Chairman Christopher Cox has vowed to either repeal or revamp the Commission's 12b-1 rule by year-end. |
Registered Rep.
August 18, 2004
Will Leitch |
SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Registered Rep.
April 1, 2005
Luxenberg & French |
A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds. |
Financial Planning
March 1, 2005
Kristen French |
To B or Not to B Once-popular B shares have seen their sales dwindle since 2001--and may soon be extinct completely. |
Registered Rep.
March 1, 2008 |
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
The Motley Fool
June 20, 2007
Dan Caplinger |
The $12 Billion Problem It's time to stop a hidden fund fee. No one is arguing that financial professionals don't deserve to get paid for their work. But there are big problems with using 12b-1 fees to do it. |
The Motley Fool
May 7, 2008
Selena Maranjian |
Time to Deep-Six 12b-1 Fees? Be on the lookout for these mutual fund fees, which do more harm than good. |
Financial Planning
February 1, 2008
Jeanne Lee |
Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008. |
Registered Rep.
September 1, 2004
Will Leitch |
Directed Brokerage Goes Down for the Count The first target has been hit: Directed brokerage is no more, and 12b-1 fees might be in more danger than had been thought. |
The Motley Fool
April 19, 2004
Selena Maranjian |
Mutual Fund Fees Explained Ignore a fund's fees and your net worth may suffer. |
Financial Planning
November 1, 2010
Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require. |
Financial Planning
July 2, 2007 |
Letters to the Editor Readers sound off on the 12b-1 debate and a MIPY investing strategy. |
Financial Planning
July 1, 2013
Patrick Sweeny |
How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services. |
Financial Advisor
October 2012
Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory. |
Investment Advisor
October 2010
Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
Registered Rep.
April 7, 2005
Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice. |
The Motley Fool
November 24, 2008
Dan Caplinger |
4 Fees You Don't Need to Pay In this era of competition among financial-services firms, you don't need to settle for excessive fees. |
Registered Rep.
September 29, 2005
John Churchill |
Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services. |
Registered Rep.
May 23, 2011
Jodie Papike |
Ninety-five Percent Payout? I Don't Think So The headline payout numbers offered by firms can often be quite misleading so it's not a bad idea to take a second look. There are typically a host of costs that cut into an advisor's net take-home pay, and these can add up. |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
Registered Rep.
July 20, 2007
Christina Mucciolo |
SIFMA Says Keep the 12b-1 Fees, Ad Infinitum The securities industry is fighting tooth and nail to save 12b-1 fees, which it says are a necessary part of doing business. |
Financial Advisor
March 2006
Nancy Lininger |
Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn. |
Investment Advisor
July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients. |
Investment Advisor
April 2008
Kathleen M. McBride |
SEC: "We hear you" The Securities and Exchange Commission has proposed an amendment that may make taking customers to a new firm easier on reps and B/D executives. |
The Motley Fool
March 8, 2010
Selena Maranjian |
Save 5.75% With One Simple Step Sky-high sales loads have long driven us to steer clear of many otherwise impressive mutual funds. But as times change in the fund business, many of those onerous fees are disappearing for good. |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them. |
Financial Planning
May 1, 2008
Elizabeth O'Brien |
Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another. |
The Motley Fool
August 26, 2008
Dan Caplinger |
Is Your Broker Robbing You Blind? With many advisors charging fees based on assets under management, there's always a possibility that your advisor will recommend commission-generating investments that aren't the best for you. Although it looks innocent, that amounts to outright theft. |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
The Motley Fool
May 27, 2009
Dan Caplinger |
The Smarter Way to Plan Your Portfolio The right fee-only planner can make a huge difference in the outcome of your investments. |
The Motley Fool
June 14, 2010
Amanda B. Kish |
Say Goodbye to This Investment Ultimately, it's a good thing for investors that Class B shares are falling by the wayside. In the meantime, invest in the best load funds strategically, including buying within their qualified retirement plans, if available, to avoid paying the loads. |
Financial Advisor
April 2004
Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly. |
