Similar Articles |
|
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. 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. |
The Motley Fool January 4, 2010 Selena Maranjian |
Say Goodbye to Class-B Mutual Funds Class B never served you well. Now they don't serve Wall Street, either. |
Investment Advisor September 2007 Kara P. Stapleton |
Changes Ahead for 403(b)s Retirement plan advisors, distributors, and providers are finding themselves responding on the fly to the trends shaping the 403(b) and 457 markets. New regulations will add paperwork and confusion say critics. |
Registered Rep. July 30, 2003 Will Leitch |
SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force. |
Registered Rep. December 9, 2003 Will Leitch |
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading. |
Financial Planning September 1, 2005 Gina Duryea |
An Adviser's Lament Can you trust the fund company you are using for your clients? Beware: Mutual fund companies could cut your commission. |
Financial Advisor October 2006 Thomas M. Kostigen |
Discrimination, Or Keeping It Simple? Schwab boots funds that have cheaper share classes elsewhere. |
Registered Rep. March 24, 2005 Kristen French |
Mutual Fund Enforcement Picks Up Steam On March 23, the SEC and NASD handed out fines in mutual fund-related punishments totaling more than $80 million to five firms. And that is likely just the beginning of a coming avalanche of similar regulatory actions, legal experts say. |
Entrepreneur January 2004 Scott Bernard Nelson |
Under Fire Is it still possible to invest without getting burned? |
Registered Rep. May 17, 2006 John Churchill |
Monster Arbitration Ruling Against Ameriprise Unit An NASD Arbitration panel awarded 32 retired Exxon employees a total of $22 million in damages for losses suffered when their broker put most of their savings in variable annuities and B-share mutual funds. |
Registered Rep. January 1, 2006 Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Registered Rep. June 2, 2004 Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
Registered Rep. April 1, 2006 Kevin Burke |
Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family. |
Registered Rep. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. |
Registered Rep. March 1, 2007 |
The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search? |
The Motley Fool August 24, 2011 Morgan Housel |
Bank of America: Tangled in Charlotte's Web The megabank's nightmare. |
Registered Rep. May 1, 2005 Kristen French |
Scandal Scorecard: Mutual Funds on Top With the SEC and NASD recently levying more than $80 million in fines to five firms (for transgressions related to revenue sharing and B shares), mutual fund sales practices officially sit on the front burner. |
Registered Rep. January 8, 2003 Will Leitch |
NASD: Firms Are Overcharging Clients The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them. |
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. |
Registered Rep. January 1, 2005 Stan Luxenberg |
Grading Governance The mutual fund scandals have put advisors in a tough position: Recommending a fund that ends up in the headlines can deal a serious blow to an advisor's reputation and can even mean lost clients. |
Registered Rep. March 31, 2015 Ryan W. Neal |
Smaller Firms, Better Technology? Smaller brokerages traditionally have lagged behind larger firms when it came to technology. No more. |
Investment Advisor December 2007 Melanie Waddell |
Grasping the New 403(b) Rules Changes to 403(b) plans provide opportunities for financial advisors, retirement experts say. |
Registered Rep. April 29, 2009 Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. |
The Motley Fool January 14, 2009 Rick Aristotle Munarriz |
To B Share or Not to B Share Class B investors need to realize that there is no such thing as a free lunch on Wall Street. |
The Motley Fool March 24, 2005 Tim Beyers |
B Is for Broker More fines against fund industry bigwigs. What a shocker. |
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. |
Registered Rep. November 1, 2004 Anne Field |
Gunning for College As more investors put their faith in 529 plans, the stakes rise for those who are supposed to be protecting them, and agencies like the NASD and the SEC have jumped into the fray with gusto. |
Registered Rep. August 26, 2003 Will Leitch |
NASD Sets Guidelines On Giving Money Back The Joint NASD/industry task force released its study on breakpoints last month, confirming that millions are owed to clients by firms for not applying discounts on breakpoints. The NASD is now making sure the firms know exactly how to rectify the situation. |
The Motley Fool August 18, 2011 Ilan Moscovitz |
B&G Foods Is Cheaper Than You Think Let's examine B&G alongside some of its peers for additional context. |
Information Today June 17, 2014 |
D&B Aids Discovery of Taxpayer Information D&B launched D&B Revenue Advisor to help state and local tax and revenue agencies find complete, accurate, and timely commercial taxpayer information. |
The Motley Fool October 22, 2004 Tom Taulli |
D&B Weaves a Web D&B bought an Internet strategy when it acquired Hoover's. In the third quarter, the e-business division posted revenues of $12.9 million, which was up 54%. |
Financial Advisor July 2006 Tracey Longo |
Advisors In The Spotlight A recent Investment Company Institute conference reveals financial advisors are the top source of investors' fund purchases. |
Registered Rep. September 30, 2009 David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Entrepreneur May 2009 Francine Kizner |
Quiz: Blackberry or iPhone? Take this quiz to decide whether a Blackberry or an iPhone is right for you. |
Financial Planning April 1, 2008 Joshua B. Gottfried |
New Rules at School With few experts well-versed about 403(b) retirement plans, those who are will be able to help educators and school districts work through the new system and build their client base. |
Registered Rep. April 20, 2011 Anne Field |
How to Market Yourself -- When Marketing is Not Your Strong Suit After switching broker dealers, a long-time advisor is looking to attract a handful of reps to his new branch and to publicize his association with his current b/d. |
Investment Advisor April 2007 Robert F. Keane |
Morningstar--S&P Deal Morningstar and Standard and Poor's, a division of The McGraw-Hill Companies, announced the completion of a deal for Morningstar to acquire Standard and Poor's mutual fund data business for $55 million in cash. |
Registered Rep. March 31, 2015 Diana Britton |
Perks of Being an IBD Advisor Many b/ds offer their reps special perks and incentives beyond payout |
Registered Rep. October 8, 2014 Diana Britton |
Are Advisors Disillusioned with Alternatives? According to WealthManagement.com's 2014 AdvisorBenchmarking RIA Trend Report, fewer RIAs are using alternatives in their client portfolios this year than last. |
Registered Rep. August 30, 2006 David A. Geracioti |
American Funds Slapped Today, an NASD Hearing Panel fined American Funds Distributors, the principal underwriter and distributor of the shares of the American Fund family, for directed brokerage. |
The Motley Fool February 10, 2004 Dan Otter |
ERSA 2.0 and the 403(b) The latest reincarnation of the ERSA (Employer Retirement Savings Account) may not be a panacea for 403(b) participants. |
Registered Rep. June 4, 2013 Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? |
Registered Rep. January 6, 2010 Halah Touryalai |
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. |
The Motley Fool April 13, 2004 Dan Otter |
Annuities in a 403(b) or 457(b)? Before you invest in an annuity, make sure there aren't better options available. It won't take long to find them. |
Registered Rep. June 9, 2009 Halah Touryalai |
Fewer Advisors Switch B/Ds in May The number of advisors switching firms dropped 23 percent in May versus April, according to Discovery Database. |
On Wall Street September 1, 2010 Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
Registered Rep. June 1, 2012 Diana Britton |
Alternatives Going Mainstream According to data released by Cerulli Associates and Strategic Insight/SIMFUND, alternative mutual funds account for 2.8 percent of overall mutual fund assets today. But Cerulli projects they will account for 9.7 percent of all mutual fund assets in five years. |
Registered Rep. November 1, 2007 Halah Touryalai |
Do-It-Yourself Broker/Dealer Rather than join an existing broker/dealer as an independent contractor, an increasing number of reps are starting their own firms. Here are some important things to consider before going out on your own. |
Financial Advisor August 2010 Joel P. Bruckenstein |
Star Appeal In a few short years, Morningstar has improved its advisor platform so much that it truly has become an "office." |