SEC to issue new broker pay rules

Posted by adaniels in Blog on November 10, 2010

How do you get the largest bonuses, and easily transition and protect your biggest clients in our new Age of Transparency and Regulation (ATR)?

The large up front bonuses that advisors get when moving from one firm to another are under siege. SEC Chairman, Mary Shapiro is targeting these bonuses and claims they encourage risk taking.

Read these articles….

SEC plans to issue new rules on broker pay : November 8, 2010

Read full article here

Memo: SEC to issue new broker pay rules by April : November 10, 2010

Read full article here

…..and let us know your thoughts.

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