Exchange-traded funds are not required to pay brokerage firms a 12-b1 fee to be held in an account, but one ETF company appears to be preparing for this. As the number of ETFs expands and marketing ...

Gordon Scott has been an active investor and technical analyst or 20+ years. He is a Chartered Market Technician (CMT). A 12b-1 fee is an annual charge mutual funds assess against investors to cover ...

Don't panic yet, but in case you haven't heard, the SEC is taking a hard look at a major source of pay for reps: 12b-1 fees. Sure, the subject of 12b-1 reform has been bandied about for more than a ...

The mutual fund fees known as 12b-1s have morphed into something few envisioned when the SEC created them 25 years ago. With regulators now poised to address that transformation, many reps are ...

The Securities and Exchange Commission has continued to bring cases against advisors for 12b-1 fee violations since ending its Share Class Selection Disclosure Initiative in April 2020. Under the ...

Advisers will certainly have heard questions from clients about the use of 12b-1 fees moving forward under the new DOL fiduciary rule; what are the experts saying? Some experts believe retirement plan ...