Inside Information
APRIL 1, 2024
Broker-dealers live off of the activities of their affiliated reps; they facilitate the transactions and asset management for a percentage of the commissions and fees that advisors/reps receive from their clients. The BD doesn’t control prices charged to clients except to the extent that it facilitates commissions.
Nerd's Eye View
DECEMBER 7, 2022
For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,
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Brown Advisory
AUGUST 14, 2023
For social media types selling advertising, the algorithms need to be tuned to keep serving up “new” information to keep our attention – with scant regard to the quality of the information presented. Certain accounts in the Composite may pay asset-based custody fees that include commissions.
Inside Information
OCTOBER 30, 2021
Rostad is currently focused on what he sees as our best chance for meaningful reform: getting the Commission to revise the Form CRS disclosure so that it provides a clearer explanation of the different business models of broker-dealers/wirehouses, on the one hand, and fiduciary RIAs registered with the SEC on the other.
Brown Advisory
JANUARY 1, 2023
Recently, Microsoft has seen the Federal Trade Commission (FTC) voice opposition to its pending $69bn acquisition of gaming company Activision Blizzard. Whilst advertising budgets are naturally cyclical, the return on investment from performance advertising spend often goes up in an economic downturn.
Sara Grillo
JUNE 20, 2022
It was a major advantage that they paid a base salary; albeit not a huge one it was still supportive of him feeling a bit more comfortable that working on straight commission. And it kinda started from there, so he really kinda got the ball rolling for me and… So that was back in 2011. Absolutely. Okay, were there any other benefits?
Sara Grillo
SEPTEMBER 12, 2022
The CFP Board promotes a faux fiduciary standard that does not require its members to disclose potential conflicts of interest in writing and that does not require them disclose the percentage or amount of commission its members may receive from the sale of insurance products with opaque commissions.
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