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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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
October 2006
Thomas M. Kostigen
Discrimination, Or Keeping It Simple? Schwab boots funds that have cheaper share classes elsewhere. mark for My Articles similar articles
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. mark for My Articles similar articles
Entrepreneur
January 2004
Scott Bernard Nelson
Under Fire Is it still possible to invest without getting burned? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
The Motley Fool
August 24, 2011
Morgan Housel
Bank of America: Tangled in Charlotte's Web The megabank's nightmare. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
The Motley Fool
March 24, 2005
Tim Beyers
B Is for Broker More fines against fund industry bigwigs. What a shocker. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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%. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Entrepreneur
May 2009
Francine Kizner
Quiz: Blackberry or iPhone? Take this quiz to decide whether a Blackberry or an iPhone is right for you. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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." mark for My Articles similar articles