investment advisers

• CU Financial Adviser Compensation Survey Reveals Key Benchmarks

  By Michelle A. Samaad  |  May 15, 2013

  Nearly half of all financial advisers are paid on the basis of production over the past six to 12 months, a change from years past.

• Financial Advisers Build Loyalty Beyond Relationships

  By Michelle A. Samaad  |  January 23, 2013

  Now that Bank Transfer Day has come and gone, some credit unions have been working hard to expand those new relationships centered on one facet that longtime members often tout: loyalty.

• FINRA Launches Pilot Remediation-by-Phone Program

  By Melanie Waddell  |  January 17, 2013

  Participation in the pilot program, which began this week, is voluntary and open to cases involving claims of $50,000 or less, FINRA said.

• New England FCU Links Up With CUSO Financial Services LP

  By Michelle A. Samaad  |  December 4, 2012

  The $930 million New England Federal Credit Union is the latest to sign on with broker-dealer CUSO Financial Services LP.

• SEC Will Pursue Fiduciary Rule in 2013

  By Melanie Waddell  |  December 4, 2012

  Other priorities next year will include hiring more examiners to police advisers, JOBS Act rulemaking on Reg D, crowdfunding.

• Dodd-Frank Boosts Adviser Registration, Assets Under Management

  By Michelle A. Samaad  |  October 23, 2012

  A total of 1,504 advisers to hedge funds and private funds have registered with the SEC since Dodd-Frank mandated such registration.

• SEC Report Reveals Gaps in Broker-Dealers’ Use of Client Info

  By Michelle A. Samaad  |  October 2, 2012

  Report highlights conflicts of interest scenarios and strengths and weaknesses identified in examinations into how broker-dealers keep material, non-public information from being misused.

• Pentagon Federal Credit Union Moves Back to CUSO Financial

  By Michelle A. Samaad  |  September 11, 2012

  After briefly moving to another broker-dealer, Pentagon Federal Credit Union has returned to CUSO Financial Services LP.

• Cetera Financial Group Debuts New Brand Structure

  By Michelle A. Samaad  |  September 4, 2012

  PrimeVest Financial Services plans name change to Cetera Financial Institutions.

• Fee-Based Investment Accounts Drive Revenue Growth: Report

  By John Sullivan  |  August 23, 2012

  PriceMetrix argues fee-based models tend to command higher revenue because adviser forced to define, clarify value proposition that will be delivered