Investment News

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Articles in March, 2005 issue of Investment News

• Some providers try to put kibosh on Roth 401(k).(Conference Calls)
• Regulators target undisclosed conflicts.(Conference Calls)
• Price wars heat up.(Short Interests)
• Snapshot.(One on One)
• Education makes little difference for poor 401(k) savers; 70% of those surveyed said they could afford to increase contributions.(News)
• So long, farewell, bye-bye.(Short Interests)
• Canada lifts caps on retirement investment; Who will profit from the move is a burning question.(News)
• Putnam aims to get growth team on track; But its wholesale restructuring is largely over.(News)
• Fund's hallmark was good record, not marketing.(Street Wise)
• Front-burner issues.(News)
• Life reinsurer enters market.(Short Interests)
• Seat price on Big Board rises to $1.5M; Increase of 50%-plus since early in year.(News)
• Softer, gentler version of hedge fund to launch; Proposed mutual fund called `alternative to alternatives'.(News)
• American Express launches individual(k) plan.(Product Watch)
• NASD examines anti-money-laundering programs; Fines GunnAllen $30,000 for 2002, 2003 violations.(News)
• One on One With John T. Hailer of IXIS Asset Management Advisors Group.(One on One)
• Bush's best bet on Social Security: Strategic retreat.(Other Views)
• Calendar.(Calendar/Datebook)
• At the Bell; Portman post called a 'loss' for Congress.(Late News)
• Hartford investment gurus see continued growth; Market fairly valued, insists an advocate of value investing.(News)
• 1031 exchanges: a valuable investment tool for all.(Other Views)
• People.
• Future looks good for the developing world.(Conference Calls)
• Former Griffith staffers charge firm with deceit; Complaint seeks $46M in damages.(News)
• Northwestern sues ex-agent, seeking to blunt his attacks; Alleges illegal conduct in defendant's use of a website which says company steers clients to proprietary funds.(News)
• One on One With Garrett Thornburg of Thornburg Investment Management Inc.(One on One)
• Cancer is No. 1 long-term claim.(Short Interests)
• 'Hard 4' replacement may be issued in April.(Late News)
• People.
• FSI seeks study on broker data; Hopes to show indies are cleaner than others, but ready for bad news.(News)
• Rich get richer, report shows.(Short Interests)
• FPA chapter tackles 529 plan tax treatment; Illinois organization may become a model for other states' groups.(News)
• Proponents insist efficient-market theory is alive; They say investors' conflicting aims and choices balance out one another.(News)
• U.S. Tax Court reports must be made public.(Tax Watch)
• Boomers with advisers realistic about retirement; Those sans planners lack a good sense of how much to save.(News)
• People.
• Separates are thriving but need better PR; Consumer education, consistent branding needed.(Managed Accounts)
• E-mail compliance tool available for hedge funds.(Product Watch)
• It's a small world after all; Global standards for planning seen on the horizon.(News)
• Covered-call fund offers equities, with less risk.(Street Wise)
• The key-account manager can help unlock sponsor riches.(Other Views)
• Tough tack needed for white-collar criminals.(Editorial)
• Putnam will have to open coffers even wider.(Reverse Spin)
• Advisers aren't OK with an SRO.(Short Interests)
• Coming soon.(News)
• CIO out to convince skeptics Columbia is ready for prime time; Banks embarks on hard sales job.(News)
• Disaster grants may get tax break.(Tax Watch)
• Kovack Securities works to build up number of reps; Family-owned company recruits from wirehouses.(News)
• SEC's 'get out of jail free' card is selling the small investor short.(Other Views)
• Financial Profiles enhances estate-planning tools.(Product Watch)
• Websites improving, study says.(Short Interests)
• Growing interest in hedge funds fuels Lipper buys; Firm battles Morningstar to offer research.(News)
• Anti-laundering fines common for brokers.(News)
• Get ready for changes in the work force.(Monday Morning)
• At the Bell; Pitt tells bankers to self-regulate.(Late News)
• Fiserv unit ready for close-up.(Conference Calls)
• Use of 12(b)-1 fees has shifted away from distribution; More than half used for continuing shareholder services.(News)
• The market's up, but the financial adviser's down.(Other Views)
• Are 401(k) advisers plan fiduciaries? Reps believe they are, but most say their firms don't.(News)
• Value mutual fund takes more aggressive strategy.(Street Wise)
• Smith Barney makes hire.(Short Interests)
• Lackluster stock market knocks down 4Q VA sales; But full-year sales rose; assets up by 12% year over year.(News)
• Arbitration ruling may benefit some plaintiffs; Called more of a `fluke' than a precedent.(News)
• Risk exposure worries FDIC.(Short Interests)
• Right strategies plus right tactics equals success.(Practice Management)
• Panel seeks tax code comments.(Short Interests)
• Merger arbitrage funds pin their hopes on M&A activity this year; But if deals go awry as in 2004, trouble may loom.(News)
• Schwab sells commission-based 401(k)s; Move broadens reach but some adviser clients may grumble.(News)
• Identity theft protection is a priority.(Monday Morning)
• High time for point-of-sale-disclosure rules.(Editorial)
• Closing Quote.(Quotes)
• Strong acquisition adds strength to Wells Fargo's 401(k) group; Acquiree's arm known for employee communication and education.(News)
• Greenspan wants a tax code with predictability.(Conference Calls)
• Wealth management conference eyes impact of boomers, regs.(Conference Calls)
• Round Table Panelists.(Round Table)
• Annuity product provides institutional returns.(Short Interests)
• NASD fines broker for market timing in variable-life policy; Jefferson-Pilot fine called `wake-up call'.(News)
• Real estate investment pros strike out on their own; Some view trend as a sign the market is starting to pick up.(News)
• At the Bell; Dreyfus executive returns to the fold.(Late News)
• CPA panel slices and dices Social Security issues, plans.(Conference Calls)

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