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Market Strategies: Three Ways to Play Defense in Your Stock Portfolio
By Mark FisselPosted 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 MoreOpportunity Zones
By Clint EdgingtonPosted 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 MoreProtected: U.S. Debt Ceiling – The Budget Impasse
By Clint EdgingtonPosted on July 28th, 2011
There is no excerpt because this is a protected post.
Learn MoreReasonable Contract or Agreement Under Section 408(b)(2) – Fee Disclosure
By Meredith StoudtPosted 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 MoreRevenue Sharing Arrangements
By Meredith StoudtPosted 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
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