Investment News

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Articles in November, 2003 issue of Investment News

• Trust not top challenge for money managers; Advisers: Firms took investors for granted.(News)
• New life for simplified savings; Bush may use plans as campaign issue.(News)
• Product Watch: Keir, Acadient offer review course for CFP test.(News)
• Reverse Spin: Schwab sweet on TD Waterhouse.(Briefs)
• One on One: "With technology, there's always lots of interesting things going on".(News)
• Conference Call: Debating the direction of the stock market indexes.(News)
• Reverse Spin: It's nice to be needed -- by the rich.(Briefs)
• Fast Track: State Street Research gets cleanup help.(News)
• Damage control effort is targeting advisers; But some want fund firms to address fixing matters.(News)
• SEC inquiry focuses on who knew; As probe widens, timing is big question.(News)
• The season for giving sees modest gains; Increase in donations tempered by worries.(Special Report: The Giving Season)
• States slap advisers with fee increases; Adviser fees to help offset budget deficits.(News)
• Advisers send out SOS over an SRO for funds; Worry regulatory body could extend to them.(News)
• Inflation + weak dollar = big trouble; Unexpected inflation at home, and increased monetary instability abroad, could short-circuit the recovery.(Opinion)
• Morningstar's stars for separates vex some in industry; Process-to-product transition is feared.(News)
• Planners urge calm in fund crisis; FPA pushes for reforms, greater disclosure.(News)
• Short Interests: President Bush salutes military with tax benefits.(News)
• At Issue: Advisers' moral high ground is soft underfoot.(Opinion)
• SEC proxy proposal may give hedge funds too much power.(News)
• Surge in insider sales hints at market risks; Some are reducing exposure to U.S. equities.(News)
• Taking Sides: SEC too lenient with Putnam.(Opinion)
• For some planners, wildfires hit home; Few clients affected; FPA is pitching in.(News)
• Waddell & Reed focus shifts to productivity; Firm trims back recruiting efforts.(News)
• Product Watch: Transition-planning site for RIAs is launched.(News)
• Conference Call: Buzzword is 'compliance' at SIA powwow.(News)
• Beware of tax traps lurking amid perks; Shocks in store for some investors.(Special Report: Tax Planning)
• Tax Watch: Internet tax bill on the move in the Senate.(News)
• Monday Morning: Service promises to time market shifts.(News)
• At the Bell.(Late News)
• `Shelf space' scrutiny could squeeze indies; Cut in fund marketing fees likely to affect reps.(News)
• Rx for break-point breakdowns: Set standard, get data from funds; Remedy sought as regulators target more broker-dealers.(News)
• Fund manager stock rally on hold; Firms named in probe see share prices slide.(News)
• Monday Morning: Firms still say dog ate their balance sheet.(News)
• At the Bell.(Late News)
• At Issue: Blocking independent rep's transfer hurts clients.(Opinion)
• Will the B of A cloud rain on Fleet's Columbia? Target's fund investors may suffer because of merger.(News)
• Conference Call: Raymond James chairman tells advisers to get CFP.(News)
• Investment Strategies: How to short the market successfully without really trying.(News)
• Datebook.(Calendar/Datebook)
• Scandals put ICI president in spotlight; The heat is on as Fink gets ready for retirement.(News)
• Congress set to pull trigger on mutual fund legislation; Some advisers anxious about possible unintended consequences.(News)
• Moving Up.(News)
• Funds seek to put onus on brokers; Want to shift liability for trading improprieties.(News)
• New tax laws may be on horizon though 2004 is an election year; Bush's push for LSAs, against death tax.(Special Report: Tax Planning)
• One on One: "I get a lot of honest feedback and truly valuable advice from advisers".(News)
• Fast Track: Bank One equity CIO focuses on overhaul.(News)
• Short Interests: Hedge funds may get green light to strut their stuff.(News)
• New on the Books.(Special Report: Tax Planning)
• Monday Morning: Take no chances with customer service.(News)
• Undiscovered has discovered a powerhouse of a partner; Company being sold to JPMorgan Fleming.(News)
• Conference Call: Bad news hits close to home at the end of IMPACT.(News)
• LTC's future in the workplace? Some say bypassing agencies is a mistake.(News)
• Panelists squarely in favor of full disclosure by mutual funds.(InvestmentNews Round Table)
• Tax Watch: Battle against abusive tax shelters still rages.(News)
• Taking Sides: Funds need to act before it's too late.(Opinion)
• Fast Track: Gartmore gets serious about separates.(News)
• Allmerica to shut VeraVest broker-dealer unit; About 800 brokers will soon be on their own.(News)
• Conference Call: Life insurance industry under fire for keeping mum on COLI-plan data.(News)
• Monday Morning: Fund bigwigs risk it all for small potatoes.(News)
• Investors see need for financial pros; Survey finds investors poorly informed.(News)
• Mutual funds seeing spike in class actions; At least 11 suits filed, 4 more than in 2002.(News)
• Mutual fund scandals force soul-searching; Advisers assess their own culpability.(News)
• Moving Up.(News)
• New 529 program could stand input from advisers; Prepaid tuition plan: Sales lagging interest.(News)
• SEC right to let up on short sales.(Opinion)
• Datebook.(Calendar/Datebook)
• SAAFTI sensitive about press reports; Timer group defends member practices.(News)
• Panel cites reasons to be optimistic.(InvestmentNews Round Table)
• Tax Watch: Psst! Want to lease the Brooklyn Bridge?(News)
• Conference Call: Just don't ask for a definition of 'financial planning'.(News)
• One on One: "Less than 50% of the public is currently covered by some kind of retirement plan".(News)
• Datebook.(Calendar/Datebook)
• New software aims to help advisers cut data; Integrated approach could save time.(News)
• At the Bell.(Late News)
• It may be curtains for window dressing; SEC is expected to consider restricting the practice.(News)
• Schwab pumps up sales side; Readies its troops to combat wirehouses.(News)
• Schwab, adding 11 funds, eyes marketing coup; Deal with AXA builds firm's offerings.(News)
• Debate is spurred by ICI's report defending mutual fund expenses; Critics charge ICI with fuzzy math.(News)
• Street Wise: Bobbing and weaving leads to outperformance.(The Markets)
• Trading scandal prompts rush to opportunistic ads; But a fund using clean-hands pitch may put foot in mouth.(News)

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