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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 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 April 2008 Melanie Waddell	12b-1 Headed for an Overhaul After nearly a year of silence, the SEC has decided to revamp 12b-1.
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 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.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
Financial Advisor April 2004 Gregory Bresiger	Fund Industry Dilemma: Who Pays The Bills? A new bill calls for the elimination of 12b-1 fees.
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.
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.
Financial Planning July 2, 2007	Letters to the Editor Readers sound off on the 12b-1 debate and a MIPY investing strategy.
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.
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.
Investment Advisor October 2010	The Future of 12b-1 Fees The Financial Services Institute offers up a good primer on proposed changes to 12b-1 rules.
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 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 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.
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.
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.
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.
Financial Planning April 1, 2005 Jennifer A. Liptow	White Paper A report finds that financial advisers are reaping the benefits of the increasing dollars flowing into mutual funds via 12b-1 fees.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
The Motley Fool February 4, 2004 Selena Maranjian	Mutual Funds and 12b-1 Fees Are you paying counterproductive fees?
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
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.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Registered Rep. April 1, 2006 Kristen French	Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients.
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.
Investment Advisor March 2007 Ken Weber	401(k) Plans' Dirty Little Secret Without fair, vigorous competition among 401(k) plan providers, millions of plan participants will be saddled with burdensome costs. And without disclosure, employees cannot pressure employers to seek more cost-effective plans.
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 May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
The Motley Fool August 13, 2007 Dan Caplinger	Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad.
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.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Financial Advisor September 2010	Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more...
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.
The Motley Fool November 9, 2007 Selena Maranjian	Fund Fees Rising When They Should Be Falling Are you getting ripped off by your fund family? While many mutual funds are now enjoying lower operating costs, many fund companies have actually raised the annual fees they charge shareholders.
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.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
Registered Rep. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
The Motley Fool April 19, 2004 Selena Maranjian	Mutual Fund Fees Explained Ignore a fund's fees and your net worth may suffer.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Registered Rep. July 24, 2012 Jerry Gleeson	Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.
Registered Rep. December 3, 2009 Kristen French	Shapiro Calls For Aggressive 2010 Reform Agenda In her remarks before the Consumer Federation of America, SEC Chairman Mary Schapiro reiterated her commitment to creating a "strong fiduciary standard" for all securities professionals.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.