Market Strategies: Three Ways to Play Defense in Your Stock Portfolio

By
Posted on July 30th, 2019

Defensive investment strategies share a common goal — to help a portfolio better weather an economic downturn and/or bouts of market volatility. But there are […]

Learn More

Opportunity Zones

By
Posted on October 5th, 2018

One reason I love my job is that I get to carve out a slice for “Nerd Out” time. This is time spent reading research, […]

Learn More

Protected: U.S. Debt Ceiling – The Budget Impasse

By
Posted on July 28th, 2011

There is no excerpt because this is a protected post.

Learn More

Reasonable Contract or Agreement Under Section 408(b)(2) – Fee Disclosure

By
Posted on April 4th, 2009

FEE DISCLOSURE Reasonable Contract or Agreement Under Section 408(b)(2) – Fee Disclosure A Brief Synopsis: July 23, 2010 Current Status: Passed on 7/15/2010 Affects : […]

Learn More

Revenue Sharing Arrangements

By
Posted on April 4th, 2009

Revenue Sharing Arrangements

(aka “Payment for Shelf Space”)

This is a common practice amongst brokerage firms where mutual fund companies that pay the brokerage firm get preference in their sales efforts.

Some brokerage firms will continue to offer the funds of non-paying mutual fund families- but will not allow the mutual fund wholesalers to interact with their staff. Some brokerage firms will simply not give non-paying mutual fund companies training materials to their brokers. In essence, this “payment for shelf space” is a payment that the funds must pay for the brokerage firms to push their product, which is eventually

Learn More