Compensation

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Finra Enforcement Fines And Restitution Surged In 2020

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Finra levied $57 million in fines last year, up from $40 million in 2019, said Eversheds Sutherland.

IBD-Affiliated Advisors Brace For Congress Vote To Reclassify Independent Contractors

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Various financial services industry trade groups are lobbying to derail the proposal.

'Change The Damn Name' Of Reg BI, Harold Evensky Tells SEC

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Evensky wants Biden's SEC chief nominee to wipe away a moniker he says misleads investors.

Cutting Down A Lawyer’s Tax Burden

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Lawyers can get their contingency fees deferred under an IRS rule. This advisor helped his client do it.

Fee Compression? Kitces Finds Most Advisor Fees Rose In 2020

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A new study from Kitces.com parsed the growth rates of various fee structures.

OMB Releases DOL Advice Rule, But Will It Survive The Biden Administration?

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There’s some debate about whether the amended advice rule for financial advisors will see the light of day.

Advisors' Flat Fees Are Surging, Envestnet | MoneyGuide Finds

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At the same time, more advisors are providing full financial plans, according to a survey.

DOL Fiduciary Rule Sent To OMB, But Can It Survive Biden Administration?

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The rule expands advisors’ abilities to recommend rollovers and receive many forms of compensation.

CFP Board Says Advisors’ Pay Will Be More Transparent

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The CFP Board removed a website compensation search tool last spring.

Can Revamping Your Fee Structure Increase Your Client Base?

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Revamping your fee structure could be a relatively simple way to broaden your client base.

Advisors Considering Switching Firms Face Tough Choices During Pandemic

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The chaos caused by Covid is causing some advisors to hesitate in making a switch, a Fidelity survey says.

Is Robinhood The Hero That Today’s Investors Need?

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What advisors can learn from the commission-free retail trading app targeting the smallest investors.

How Advisors Are Paid Will Be More Transparent, CFP Board Says

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The CFP Board removed a website compensation search tool last spring.

UBS To Boost Fixed Pay, Cut Bonuses In Compensation Revamp

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UBS will increase fixed compensation for those it found were underpaid while reducing their variable pay.

Six States Move Forward With Best Interest Rules For Annuities

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The regulation requires advisors to “act in the best interest of the consumer when recommending or selling an annuity.”

Clayton Fires Second Warning Shot To Firms Omitting Disciplinary Histories On Form CRS

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The SEC will host a roundtable later this month to discuss problems with firms' Forms CRS.

Kitces, Moore Say XYPN Has Dropped Challenge To Reg BI

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Instead, it will focus its efforts on fiduciary regulation on the state level.

Methods Of Motivation

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How do private companies motivate employees in both the short and long term?

DOL Announces Hearing On Fiduciary Proposal After 'Considerable Interest'

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The DOL's proposal brings its rule-making into line with the SEC's Reg BI.

Why Two LPL Leaders Believe Flat Planning Fees Are A 'Game Changer'

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Flat fees may help demonstrate the value of planning and expand advisors' client base.

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