This site uses cookies to improve your experience. To help us insure we adhere to various privacy regulations, please select your country/region of residence. If you do not select a country, we will assume you are from the United States. Select your Cookie Settings or view our Privacy Policy and Terms of Use.
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
Used for the proper function of the website
Used for monitoring website traffic and interactions
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
Commission Related Topics 
Nerd's Eye View
MAY 9, 2023
Liz is the co-owner of Pleasant Wealth, a hybrid advisory firm based in Canton, Ohio that oversees $146 million in assets under management for 522 client households.
246 
Wealth Management
JULY 5, 2023
The membership organization for fee-only advisors will now allow for a de minimis amount of commission business, as long as it's relinquished.
105 This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
The Big Picture
APRIL 11, 2024
That changed on May 1, 1975, when the Securities and Exchange Commission mandated a change in commission structures. Costs continued to fall: Over the next 25 years, commissions would fall from about 1.0% of the value of a buy or sell to around 0.25% of stock value. Lots of other active managers did well.
351 
Wealth Management
JULY 11, 2023
Raymond James will pay more than $12 million to settle charges of 'unreasonable commissions' on transactions, according to state regulators.
105 105 
Abnormal Returns
MARCH 24, 2024
morningstar.com) How home buying is going to change with the upheaval of realtor commissions. (abnormalreturns.com) Top clicks this week Ten things to know about building a diversified portfolio.
307 
NAIFA Advisor Today
AUGUST 1, 2023
Enrollment, quoting, customer management and engagement, and commissions are handled by disparate platforms that lack communication and may not be tailored to the industry's specific needs.
98 
Abnormal Returns
OCTOBER 15, 2024
papers.ssrn.com) Zero commissions could obscure the true costs of trading. Retail Just how profitable is to trade against retail order flow? papers.ssrn.com) Quant stuff How XTX Markets have generated huge profits using cutting edge quant models. on.ft.com) A look at the companies behind the scenes setting odds at online sports books.
279 
MarketWatch
MAY 25, 2023
New York City’s banking commission voted to freeze deposits at Capital One Financial Corp. All three members of the banking commission — which include the comptroller, mayor and finance commissioner — voted to take the action against Capital One and KeyCorp, which respectively held $7.2
98 
Abnormal Returns
DECEMBER 25, 2023
riabiz.com) DPL Financial Partners is seeing growth in commission-free annuity sales. (morningstar.com) A list of the most popular podcasts for financial advisers. linkedin.com) The biz Vestwell just raised a new $125 billion Series D. investmentnews.com) Startup Arch wants to build a better private capital markets workflow.
Nerd's Eye View
OCTOBER 30, 2024
However, despite the large number of potential conflicts that exist for advisory firms, much of the financial media and the general public tend to focus specifically on the conflicts caused by commission-based fee models.
246 
Abnormal Returns
MARCH 18, 2024
investmentnews.com) How home buying is going to change with the upheaval of realtor commissions. (obliviousinvestor.com) How to pick an encrypted file system. xyplanningnetwork.com) Clients are increasingly willing to meet remotely. thebasispoint.com) How Social Security spousal benefits differ from survivor benefits.
Abnormal Returns
AUGUST 28, 2024
slate.com) How to negotiate real estate commissions today. (ofdollarsanddata.com) Why even people in retirement are considering Roth IRA conversions. nytimes.com) Negotiating How to negotiate with your credit card company. wsj.com) Personal finance We are all stuck in our own frames. How to get out.
286 
Abnormal Returns
MARCH 18, 2024
wsj.com) How home buying is going to change with a new commission regime. IPOs Apple ($AAPL) and Google ($GOOGL) are exploring putting Google's AI on the iPhone. spyglass.org) A closer look at Reddit's risks. wired.com) Housing Austin's housing market is cooling off. insights.finominal.com) Disruption of the Suez Canal is real.
The Big Picture
APRIL 28, 2023
Presidential Task Force on Market Mechanisms (Brady Commission) for the U.S. He was the founding Trustee of the Robin Hood Foundation in 1988He was also Chairman and CEO of Computer Trading Corporation, an investment and advisory firm whose largest consulting client is the Canadian Imperial Bank of Commerce (CIBC).
278 
Nerd's Eye View
APRIL 26, 2024
Also in industry news this week: The Federal Trade Commission released a final rule that would ban most non-compete agreements, which could lead to an increasing number of non-solicit agreements (and, potentially, lawsuits regarding their enforcement) between financial planning firms and their advisors The Securities and Exchange Commission issued (..)
Abnormal Returns
AUGUST 15, 2024
hunterwalk.com) Home buying New home sales commission rules are coming into effect. (nytimes.com) Finance It seems the SEC will approve just about any ETF these days. ft.com) What VC returns look like in the real world. cnn.com) Home buying is going to get more complicated. wsj.com) Consumer spending Retail sales jumped 1.0% in July.
Nerd's Eye View
JUNE 30, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that NAPFA has announced that it will no longer exclude advisors who receive up to $2,500 in annual trailing commissions from previous product sales, if they agree to donate that money to a non-profit organization (..)
Abnormal Returns
MARCH 21, 2024
bloomberg.com) New commission rules could drive an exodus of realtors from the business. (wired.com) Fund management Is the mutual fund structure now obsolete? on.ft.com) Housing Austin shows the rules of supply and demand work for housing. theatlantic.com) How much is a house worth if it is uninsurable?
Abnormal Returns
MARCH 17, 2024
newsletter.abnormalreturns.com) Mixed media On the end of the 6% real estate commission. (abnormalreturns.com) Are you a financial adviser looking for some out-of-the-box thinking? Then check out our weekly e-mail newsletter. cnn.com) The management consulting business is struggling. wsj.com) Nobody is happy with the state of dating apps.
Abnormal Returns
NOVEMBER 2, 2023
cnbc.com) Is change finally coming to realtor commissions? Then check out our weekly e-mail newsletter. newsletter.abnormalreturns.com) Mixed media LinkedIn now has a 1 billion users. axios.com) Creators don't need 'creator startups.' youngmoney.co)
264 
Wealth Management
MARCH 6, 2023
Fiduciary RPAs paid additional fees from manufacturers or through proprietary products have no place in today’s transparent fiduciary world.
105 
Nerd's Eye View
MAY 15, 2024
commissions), and who holds themselves out as a trusted adviser by either stating they are acting as a fiduciary or otherwise indicates that they are making individualized recommendations based on the investor's best interest.
246 
Abnormal Returns
MARCH 20, 2024
financialducksinarow.com) How homebuying is going to change with a new commission regime. (vox.com) Why you won't likely regret shedding stuff. humbledollar.com) How Social Security survivor benefits work. thebasispoint.com) A positive take on Morgan Housel's "The Psychology of Money." thewaiterspad.com)
279 
Nerd's Eye View
OCTOBER 3, 2022
While the growth of DPL’s marketplace may itself usher in a greater level of annuity competitiveness, as companies are forced to compete for RIA attention not by offering the biggest commissions but by offering the best features and benefits to get through the RIA-as-gatekeeper.
246 
Advisor Perspectives
JUNE 12, 2024
Then any commissions earned from the sale of products, usually insurance products, are credited back to the client, offsetting and reducing the annual fee by the amount of the commission. A planner using a fee-offset model sets an annual fixed fee for their services.
64 
Nerd's Eye View
OCTOBER 25, 2023
In 2019, the SEC released a Commission Interpretation that separated the obligation of RIAs to act in their clients' best interests into separate duties of care (to provide investment advice in the best interest of the client) and loyalty (to eliminate or disclose all potential conflicts of interest with the client).
246 
Nerd's Eye View
JULY 18, 2022
But these positions are often tenuous for new advisors, with extremely high failure rates, driven in large part by compensation that is reliant primarily on commissions from product sales.
246 
Nerd's Eye View
NOVEMBER 20, 2024
One of the best sources of guidance from the Securities and Exchange Commission (SEC) is a 1986 interpretive release that unofficially sets forth a framework for satisfying the fiduciary duty to seek best execution of securities transactions in client accounts.
244 
Abnormal Returns
NOVEMBER 19, 2023
nytimes.com) Home sellers in most countries don't pay a 6% realtor commission. (michaelparekh.substack.com) Housing A growing share of American homes are mortgage-free. bloomberg.com) 30-year mortgages are to blame for the bifurcated housing market.
Nerd's Eye View
JANUARY 12, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Securities and Exchange Commission this week authorized 11 Spot Bitcoin Exchange-Traded Funds (ETFs), which could provide financial advisors and their clients with a convenient way to invest in the cryptocurrency without (..)
The Big Picture
AUGUST 26, 2022
In 1938, Ford commissioned a one-off design from company Chief Stylist Eugene T. The Lincoln Continental began life as a personal vehicle for Ford Motor Company President Edsel Ford. Bob Gregorie.
235 
The Big Picture
NOVEMBER 25, 2022
Instead of trying to winnow winners from losers, you’re better off saving on brokerage commissions and headaches by spreading your investment dollars across the entire market. ( The stock and bond markets incorporate new information into prices almost instantly, so trying to beat them is a fool’s errand, Malkiel wrote. New York Times ). •
313 
Nerd's Eye View
MARCH 22, 2024
Also in industry news this week: A recent survey suggests that advisors who best understand their prospects' and clients' unique needs and communicate their value and fees clearly could be best positioned to win and retain clients Why a dearth of advisor talent could spur additional M&A activity and 'poaching', and what firms can do to attract (..)
Nerd's Eye View
FEBRUARY 9, 2024
Also in industry news this week: A recent study finds that having a defined marketing strategy is a linchpin of marketing success, as advisors with a defined strategy were more likely to have seen an increase in inbound leads during the past 12 months and have more confidence in meeting their practice goals during the coming year than those without (..)
Nerd's Eye View
AUGUST 16, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Securities and Exchange Commission (SEC) announced that a total of 26 broker-dealers, investment advisers, and dually-registered firms agreed to pay combined civil penalties of almost $400 million for failing to maintain (..)
Wealth Management
NOVEMBER 4, 2024
The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.
139 
Abnormal Returns
JANUARY 27, 2024
theguardian.com) NASA's Ingenuity helicopter on the surface of Mars is out of commission. (theatlantic.com) Space Japan became the fifth country to land on the Moon. nature.com) Why is landing on the moon so difficult? arstechnica.com) It's easier to boost a satellite once it's already in orbit.
279 
Nerd's Eye View
SEPTEMBER 23, 2022
While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.
Nerd's Eye View
SEPTEMBER 1, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Massachusetts Supreme Judicial Court ruled that the state's fiduciary rule for broker-dealers can stand, potentially opening the door for other states to impose similar standards that exceed the requirements of the Securities (..)
Nerd's Eye View
JANUARY 6, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Securities and Exchange Commission (SEC) has received significant pushback from investment adviser and financial industry trade groups to the regulator’s recent proposal that would establish formalized (..)
Nerd's Eye View
AUGUST 5, 2022
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC has issued a new bulletin clarifying the responsibilities of brokers under Regulation Best Interest (Reg BI).
Abnormal Returns
FEBRUARY 26, 2023
Sentencing Commission show judges rejected more than 80% of compassionate release requests filed from October 2019 through September 2022. (morningstar.com) Medical debt plays a big role in why the South has lower credit ratings on average. washingtonpost.com) Urban areas can't grow without new housing. bloomberg.com) Data from the U.S.
243 
Mish Talk
DECEMBER 22, 2022
The Securities and Exchange Commission and Commodity Futures Trading Commission also sued Ms. Ellison, 28 years old, pleaded guilty to seven counts, including wire fraud and conspiracy to commit securities fraud, according to her plea agreement, which was signed Monday. Mr. Wang, 29, pleaded guilty to four counts, including wire fraud.
203 
The Big Picture
OCTOBER 8, 2022
We went along for the ride : Jared Isaacman, who commissioned a private astronaut flight to orbit last year, has purchased three more space trips from Elon Musk’s SpaceX ( Washington Post ). • What Einstein and Bohr’s debate over quantum entanglement taught us about reality : The microscopic world behaves very unlike the world we see around us.
298
Expert insights. Personalized for you.
We have resent the email to
Are you sure you want to cancel your subscriptions?
Let's personalize your content