Investment News

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Articles in August, 2004 issue of Investment News

• What's in a NAAIM? SAAFTI finally renames itself.(News)
• Action step.(Practice Management)
• With referrals, you get as good as you give.(Practice Management)
• Wirehouses to allow transfer of some data.(Short Interests)
• Looks aren't everything, but they help.(Monday Morning)
• Reform paying dividends.(Short Interests)
• SEC reopens Merrill rule debate; FPA holds fire on new challenge.(News)
• Summer proving to be more bad and ugly than good.(Short Interests)
• Getting ready to retire, on their own terms.(Short Interests)
• Miller, aiming to double unit's assets, looks overseas; Legg Mason star boosts analyst ranks.(News)
• Clients favor HSAs; advisers need convincing; Their high deductibles, hence lower commissions, seen as one roadblock.(News)
• Stressing compliance a value-add for clients? Firms scramble to meet SEC's October deadline.(News)
• Software facilitates socially conscious investing; Helps managers align clients' goals and investments.(News)
• Managers' paychecks changing? Fund firms tie pay to performance.(News)
• Sponsorship drought could hurt budgets; FPA chapters work hard to make up revenue shortfalls.(News)
• With Richard G. Averitt III of Raymond James Financial Services.(One on One)
• Slow departure from Schwab.(Short Interests)
• Life insurance remains a tough sell; Hartford survey shows that many families remain underinsured.(News)
• Regulatory inquiries changing the game for advisers; Spotlight trained on fiduciary responsibility; increase in fee-based pricing models is likely.(Top 401(k) Managers)
• Benchmark lays bare 401(k) management fees; Invesmart urges 0.65% annual max.(News)
• Plan targets late trading.(News)
• Funds of funds get OK for variable products.(Short Interests)
• Wirehouse, regional reps face uncertain times; Brokers get creative to build their businesses.(Broker-Dealers)
• Splitting headache?(Short Interests)
• People.
• TIMELINE OF THE MUTUAL FUND SCANDALS.(News)
• CEOs of insurer-owned brokers out-earned peers; But many of these firms failed to break even in 2003, Moss Adams survey finds.(News)
• A rebel with a cause in terms of hedge investing.(Street Wise)
• Retirement network foresees fight for survival; So it seeks to move beyond telecom focus.(News)
• Teeing up for a kids' charity.(Short Interests)
• IRS decision may boost sidecar IRAs; 401(k)s no longer need to create separate trusts for these accounts.(News)
• Fund firms heat up new-issues market; Calamos, Cohen & Steers end asset manager drought.(News)
• IRS needs more funding to fight tax cheats.(Editorial)
• New ETFs to carry upfront fees; Some worry that PowerShares' move sets a bad precedent.(News)
• Losses continue at Lincoln Financial.(Short Interests)
• Compliance software to keep up with regulators; Offerings include code-of-ethics package, e-mail retrieval product.(News)
• Parent Fidelity hurt by a wild child.(Reverse Spin)
• Advent's exit opens the door for competitors; Benefits of account aggregation software remain, analysts say.(News)
• Older Americans need trusted advisers.(Monday Morning)
• Commodity scams can take in even financial advisers; Schemes proliferate when stock market is in the doldrums.(News)
• Advisers slow to embrace registered hedge funds; Some cite huge fees, poor performance.(News)
• New compliance regs serious business.(Other Views)
• People.
• COLI benefits tax debated.(Short Interests)
• Correct advice critical for clients with disabled child; A wrong suggestion could jeopardize government assistance.(News)
• Short-term interest rates keep on truckin'.(Reverse Spin)
• With Robert C. Pozen of MFS Investment Management.(One on One)
• ETF ratings spark criticism; Five popular funds singled out by Weiss for posing `excessive risk'.(News)
• LTC costs all over the map.(Short Interests)
• With Paul Schott Stevens, president of the ICI.(One on One)
• At the Bell; NASD stops firm from opening accounts.(Late News)
• IRS rulings may allow retirees to have more flexibility; Permit new ways to withdraw funds early from IRAs.(News)
• Alphabet soup gets even richer.(News)
• New mortality tables are stuck in limbo; Most states have not adopted revised rates.(News)
• Taking stock of market-cap-weighted indexes; Numeric Investors exec questions their validity.(News)
• Novel VA offers guarantee with upside potential; Genworth annuity may be the ticket for boomers.(News)
• VA 'suitablity' regs called unsuitable.(Short Interests)
• At broker-dealer firms owned by insurers, the cracks are showing; Cultural changes are needed to stem losses, UBS report says, and ample scale is key.(News)
• Software facilitates socially conscious investing; Helps managers align clients' goals and investments.(News)
• Uniform way to describe 'branch office' is in works; NASD, the NYSE, some states have varying definitions.(News)
• Profiling the industry's Top 25.(Top 401(k) Managers)
• Calendar.(Calendar/Datebook)
• Schwab rolling dice on keynoter Clinton; Advisers say its founder must take key speaking role.(News)
• Corporations, take a cue from Microsoft.(Editorials)
• Commercial realty investing requires groundwork.(Investment Strategies)
• Teens not schooled in college costs.(Short Interests)
• Van Wagoner faces the SEC's music.(Reverse Spin)
• Peoples Benefit adds Advisor's Edge subaccounts.(Product Watch)
• Are autopilot 401(k)s next big thing? Plan providers want to fight participant inertia.(News)
• American Funds tries to stay ahead of regulators; Broker-dealers asked to sign agreement or possibly forfeit revenue-sharing arrangements.(News)
• Managers, advisers making way for the GOP; Convention to test commuters' mettle.(News)
• Individual 401(k)s touted as ideal retirement tool for some; Offer myriad features, but have drawbacks.(Top 401(k) Managers)
• Versar becomes well versed in defense contracting.(Street Wise)
• Hedge funds rise in popularity.(Short Interests)
• NFS enhances fixed-income, research services.(Product Watch)
• Fed should back off on interest rate hikes.(Editorials)
• Shareholder regs must be thought through.(Editorials)
• Preparation is watchword.(Short Interests)
• Gatekeepers for separates get their due.(Other Views)
• Sharing the Commonwealth.(Short Interests)

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