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- What Is The Return Of My Fund If I Sell Now?
- This tool calculates the annual rate of return, before and after taxes, you earn if you sell your mutual fund shares today. Brokerage fees are deducted.
- Tools & templates 2008-01-01
Additional Resources
- Brokerages shuffle fee accounts; Advisory version of model is likely alternative.(Broker-Dealer Rule)
- Byline: Dan Jamieson IRVINE, Calif. - Brokerage firms, preparing to transition existing customers into alternative fee programs, are putting the freeze on new fee-based brokerage accounts. The industry reaction comes in the wake of a Mar...
- Research articles 2007-05-21
- Inactive' Fee-Based Brokerage Accounts Come Under Scrutiny
- Brokerage firms have been red-flagging inactive fee-based brokerage accounts and asking brokers to justify the charges. "We're getting calls from our compliance department about [fee-based] Choice accounts that don't have enough activity in them," said a Morgan Stanley rep in the Southeast. "What kind of incentive is that? Are...
- Research articles 2004-03-01
- Fee-based brokerage accounts under fire.(Reverse Spin)
- Byline: Frederick P. Gabriel Jr. So much for being a cure-all for the conflicts plaguing the brokerage industry. The Securities and Exchange Commission is looking into potential abuses involving fee-based brokerage accounts, according to ...
- Research articles 2004-10-11
- Regulatory Actions Cut Payouts for Fee-Based Brokerage.
- Fee-based brokerage accounts-as opposed to fee-based advisory accounts currently gaining ground in the industry-became the rage among active traders before the stock market bubble burst in 2000, and they were popular among less-active traders, too, Fee-based brokerage accounts-as opposed to fee-based advisory accounts...
- Research articles 2006-04-01
- To appeal or not to appeal; Today is the deadline for the SEC's decision on fee-based accounts; industry seeks guidance.(News)
- Byline: Sara Hansard WASHINGTON - With the deadline bearing down to initiate legal action to block a federal court's decision on the legality of fee-based brokerage accounts, the brokerage industry is looking for guidance on how to proceed. ...
- Research articles 2007-05-14
- Raymond James takes hit on Fee Accounts
- As more brokerage firms adopt fee-based pricing platforms, the NASD is taking a closer look at whether such programs have the customer's best interest at heart. Raymond James discovered that the hard way in late April, when the regulatory agency hit the regional brokerage giant with a $750,000 fine for...
- Research articles 2005-06-01
- NASD keeping the heat on fee-based brokerage accounts; Fines Morgan, says other probes are under way.(News)
- Byline: Bruce Kelly NEW YORK - NASD last week took another swipe at a leading broker-dealer for failing to monitor sales of fee-based brokerage accounts properly, this time fining Morgan Stanley $1.5 million and ordering it to pay $4.6 millio ...
- Research articles 2005-08-08
- SEC joins SROs to review firms' rules compliance; Commission gets tough on abuses in fee-based brokerage accounts.(News)
- Byline: Sara Hansard WASHINGTON - The Securities and Exchange Commission is joining other regulators in cracking down on abuses in fee-based brokerage accounts. Following a lawsuit filed last month by the New York attorney general's...
- Research articles 2007-01-15
- Investors Capital offers fee services.
- Investors Capital in Lynnfield, Mass., offers the Ultra Advantage Account, a full-service brokerage account that offers fee-based cash management and brokerage services. Investment advisers can offer clients a brokerage account that allows free trading plus the advantages of an asset management...
- Research articles 2001-11-05
- FundQuest Announces Consulting and Conversion Services For Fee-Based Brokerage Accounts
- BOSTON -- FundQuest announced the creation of a service specifically designed to assist with the conversion of fee-based brokerage accounts to enable firms to comply with the recent court ruling. The US Court of Appeals for the District of Columbia Circuit has recently ruled that firms operating fee-based brokerage accounts...
- Research articles 2007-05-31
- A FULL PLATE: SEC likely to bypass soft dollar, brokerage reforms; Marketing timing, fee transparency require more immediate attention, experts believe.(Securities and Exchange Commission )
- Byline: Gregory Crawford The SEC will be taking a close look at soft-dollar and directed brokerage practices at mutual funds during the next six weeks, but industry participants do not expect major reforms anytime soon. "Transparency of fee Byline: Gregory Crawford...
- Research articles 2003-12-08
- NASD draws the ire of brokers; It calls clients to quiz them about their fee-based accounts.(News)
- Byline: Bruce Kelly NEW YORK - NASD, in its effort to discover information about fee-based accounts, has taken a highly uncommon and aggressive step against a number of broker-dealers, according to some brokerage executives. Last...
- Research articles 2004-09-06
- Brokers must come to terms with the changing business; Industry now seeks wealthy clients while building fee business.(Broker-Dealers)
- Byline: Dan Jamieson IRVINE, Calif. - Traditional brokerage firms are having a midlife crisis. They're attempting to create a "wealth management'' approach built around fee-based business in the hopes of capturing more assets from ...
- Research articles 2005-08-08
- Spitzer Sues UBS Over Fee–Based Accounts
- AFTER SEEING Eliot Spitzer FIRE OFF A RECENT lawsuit against UBS Financial Services, compliance directors all over the retail brokerage industry are likely to install better ways of screening customers in fee-based accounts, says one plaintiff lawyer. AFTER SEEING Eliot Spitzer FIRE OFF A RECENT lawsuit against UBS...
- Research articles 2007-02-01
- Merrill adds reps, builds fee-based biz.(Short Interests)
- Byline: Bruce Kelly NEW YORK - Merrill Lynch & Co. Inc. of New York is increasing its number of registered representatives as well as building its fee-based-brokerage business. The firm said in its earnings report this...
- Research articles 2004-10-25
- Feds likely to keep the heat on industry: lame duck senate hearing may be opening salvo in a larger D.C. oversight role.(Mr. Spitzer Goes To Washington)
- A U.S. SENATE HEARING last week on the brokerage fee and bid-rigging scandal during a lame duck Congress is unlikely to be the last federal word on the growing investigation into insurance industry practices, industry lobbyists say. Indeed, during A U.S. SENATE HEARING...
- Research articles 2004-11-22
- Fleeing Fee-Based Accounts
- The end could be near for fee-based brokerage ACCOUNTS. The first casualty occurred in late April, when Raymond James settled with the National Association of Securities Dealers over allegedly improper use of its Passport brokerage accounts. The NASD said some Raymond James customers traded infrequently-or not at all-in these...
- Research articles 2005-06-01
- Thai Brokerage Stockholders Cheer as Fee Liberalization Is Postponed.
- By Nuntawun Polkuamdee, Bangkok Post, Thailand Knight Ridder/Tribune Business News Mar. 17--Investors holding brokerage stocks cheered last week's decision to postpone any further moves toward commission liberalisation for another two years as a policy shift eliminating one of the greatest uncertainties...
- Research articles 2004-03-17
- Discount Brokerage Has Come To Real Estate With Announcement Of New Product By AMC Realty Network
- NEWPORT BEACH, Calif.--BUSINESS WIRE--Aug. 16, 1999-- AMC Realty Network Monday announced the launching of a new discount realty brokerage program for residential property buyers. AMC will act as the homebuyer's broker for a flat $2,500 fee with the balance of the buyer agent's commission rebated directly back to...
- Research articles 1999-08-16
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