Investment News

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Articles in April, 2004 issue of Investment News

• One on One: "Probably, within five years, we're going to be serving in the range of 80 to 100 families".(News)
• SEI to focus resources on all-star producers; A business gamble for industry leader, some say.(News)
• One On One: "It's a thrill and a real charge to have people trust you with their life savings".(One On One)
• Reverse Spin: Putnam pays hefty price to move on.(News)
• SEC can learn from police to update crime fighting.(Opinion)
• Closing Quote.(Quotes)
• H.D. Vest beginning to roll up its sleeves; Wells unit adding 2,000 to rep ranks, a 33% jump.(News)
• Tax Watch: Preparer claimed illegal slavery tax credits.(News)
• Moving Up.(News)
• At the Bell.(Late News)
• O brother, where art thou? Real estate; Clients clamor to invest in apartment building deals through the Cohns.(News)
• Product Watch: Barclays launching iShares, Morningstar-style.(News)
• Financial services prep courses go high tech; Willett Institute will still offer live classes.(News)
• SIA: Disclosure costs dwarf profits; Estimates SEC fund rule price tag at $17.4B in first year.(News)
• Moving Up.(News)
• Environmental-risk question looms; Would lawsuits result from more disclosure?(News)
• Reverse Spin: Sex bias ruling leaves The Bull sheepish.(Briefs)
• Nations Funds trustees may be sticking around; Only board, not regulators or B of A, can boot members.(News)
• 529s place some reps in a quandary; NASD violations loom if not properly handled.(News)
• AmEx pushed fund families, suit says; Class action focuses on client suitability.(News)
• SEC forms task force to detect fund fraud; Critics skeptical about agency's efforts.(News)
• Short Interests: Some retirement dreams may become nightmares.(Briefs)
• Product Watch: BISYS enhances compliance package.(News)
• Move to ban doubling up is debated; Some say it would cause mutual fund brain drain.(News)
• At the Bell.(Late News)
• Short Interests; Nader should be proud: Green index beats market.(News)
• Unified managed accounts seen fueling growth of already-hot separates; Mad scramble begins to develop platforms.(Managed Accounts)
• Oversight concerns aren't registering with hedge funds; Some feel registration may widen distribution.(News)
• Reverse Spin; Spitzer to Grasso: Give us the money.(Briefs)
• Monday Morning: High costs of small-caps hurt returns.(News)
• A do-gooder is determined to fare better; Citizens goes in-house to boost performance.(News)
• Tax Watch: Private debt collectors to recoup unpaid taxes?(News)
• Lawyer takes on arbitration process; Sues NYSE over proceedings in case against Prudential.(News)
• At the Bell.(Late News)
• Lincoln unit watching its pennies; Ex-Merrill exec leads drive to cut costs, simplify operations.(News)
• Help control investor expectations.(Opinion)
• Funds' hiring on rise, but ... Many target key areas; overall employment may dip, though.(News)
• Mass-market advice website aims high; Hopes to have 50,000 clients within a year.(News)
• Migration to independent advisers under way; Affluent investors switch from brand-name brokers.(News)
• Taking Sides: No need for an SRO - yet.(Opinion)
• Tax Watch: Pension funding formula reflects current rates.(News)
• Taking Sides: Congress needs to repair retirement's 3-legged stool.(Opinion)
• Finding billions in unlikely places; DFA successfully solicits CPAs.(News)
• Short Interests; Capital gain distributions: How low can you go?(News)
• The Hartford aims to boost fund business; Plans to spend $20 million on advertising this year.(News)
• Tax Watch: Bogus shareholder loans don't increase basis.(News)
• Small money manager bets on bonds; James Investment Research thinks stocks are overvalued.(News)
• Most check `yes' on ADV question about use, though unaware of how; Prohibitions on soft dollars could cost advisers, clients.(News)
• Tainted firms leading revival of the fund ad; A four-year decline in spending likely to end.(News)
• Streetwise: Managing rate exposure without breaking a sweat.(News)
• Roth 401(k): Next big thing in 2006? But `sidecar IRA' hasn't caught on.(News)
• Advisory firms feel pressure; Need to improve training, education, panelists say.(Investment News Round Table)
• One on One: "We're in the process of introducing ... what I call a radical approach to capital conservation".(News)
• Are discounts still eluding investors? Some break-point refunds may be calculated incorrectly.(News)
• Documentation is name of VA game; Companies asked to prove suitability.(News)
• American College launches retiree issues designation; Skeptics cite failure in marketing ChFC.(News)
• Vanguard advice flies beneath the radar; Assets, staff way up at its planning units.(News)
• Street Wise: Pain Therapeutics provides opioids to the masses.(The Markets)
• Reverse Spin: Edward Jones finds itself in hot seat.(Briefs)
• We can't ignore corporate greed.(Opinion)
• Insurance market reform debated; Agent group backs Oxley-Baker plan.(News)
• Fund industry faces new battle; More than 100 civil suits could result in huge settlements.(News)
• New global model separates pros, non-pros; U.S. firms adapting well to paradigm shift in serving investors.(News)
• Directory of separate-account managers.(Managed Accounts)
• Advisers support SEC's market timing rule; FPA sees disclosure aiding due diligence.(News)
• Merrill on track to meet hiring goals; Adviser ranks rise a 3rd straight quarter.(News)
• Charity probes make donors more selective; Giving has held up, thanks to market boost.(News)
• Monday Morning: Warren Buffett needs to walk the walk.(News)
• Conference Call: Microfinance groups could use a hand, study finds.(News)
• Short Interests: Viatical brokers urged to straighten up and fly right.(Briefs)
• Conference Call: Sarbanes questions need for a fund SRO.(News)
• Advisers shrug as Janus names its chairman CEO; Many see Schwab veteran as an unknown quantity.(News)
• Stock options proposal stirs debate; High-tech industry quickly attacks plan.(News)
• Datebook.(Calendar/Datebook)
• CFP Board registers new planning programs; 178 schools now offer 292 programs.(News)
• Monday Morning: Clients shouldn't gamble on retirement.(News)
• Investment News Round Table.
• One on One: "There has been a raised awareness of hourly financial advice as an option".(News)
• Kerry's tax plan called double-edged sword; Advisers concerned proposal won't help industry overall.(News)
• At Issue: 12(b)-1 fee worth saving as way to pay for the basics.(Opinion)

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