Investment News

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Articles in April, 2005 issue of Investment News

• Advisers urge caution on 2 closed-end funds.(Short Interests)
• Planners prep for new bankruptcy law; Associations, businesses gear up to offer resources, products.(News)
• Marsh unit moves to shore up employee incentives; Seeks to hold staff as stock plunges.(News)
• Institutional investors wrestle with executive compensation; Need to balance interests of board and shareholders.(News)
• Scant thought for retirement.(Short Interests)
• Exploring alternatives to petroleum fuels.(Editorial)
• REIT legislation backed in House.(Short Interests)
• Do-gooder funds get mixed grades; Morningstar says high expenses hurt stewardship ratings.(News)
• Bond website is bullish on ... bonds; But some advisers are skeptical of site's recommendations.(News)
• Schiavo case drives up demand for living wills; Advisers who suggest them find clients receptive.(News)
• Those burning up their financial future ought to pack it in.(Other Views)
• Advisers bullish on Morningstar IPO; But at $16-$19 a share, some asset managers say that it's pricey.(News)
• Federa pre-emption examined; State `cops' guard authority over agents' sales of securities.(News)
• SEC issues guidelines on options.(Short Interests)
• Mutual fund experts debate who should address ethics issues; Explore relative merits of ethics officers and compliance officers.(News)
• MMI goes outside box to focus on retirement planning.(Conference Call)
• Canadian bill on IRA-like investments clears hurdle; But U.S. fund firms aren't showing much interest yet.(News)
• Tower Square's future a big question mark; Firm awaits fate when MetLife-Travelers deal is done.(News)
• Wealthy taxpayers' group works for fairer taxes.(News)
• Value-added programs of questionable value; Distributors' needs aren't being met, study finds.(News)
• SEC fires off deficiency letters; Targets compliance shortcomings of fund advisers, RIAs.(News)
• Banks can win customers via online security.(Short Interests)
• Tiburon CEO Summit attracting more big guns.(Conference Calls)
• Penalties must match abuses at the NYSE.(Editorial)
• Janus unveils compensation plan in reg filings; Firm seeks to link pay of execs to performance.(News)
• Investing outside the U.S. is still Wild West experience; Higher costs, lack of liquidity create problems.(News)
• Clued in on charity.(Short Interests)
• Eggers returns to Dreyfus with improvement plans; He aims to upgrade the sales force, deliver new products.(News)
• Companies shouldn't reward executive felons.(Monday Morning)
• At the Bell; Financial services firms audited less.(Late News)
• Calendar.(Calendar/Datebook)
• Closing Quote.(Quotes)
• Huge asset growth is a nice problem to have.(Street Wise)
• Do-gooder investors fear disclosure shift; SEC may take look at proxy rule as part of an overall review.(News)
• Critics weigh in on SEC's point-of-sale proposal; Organizations recommend disclosure of costs via Internet.(News)
• Real estate funds may be poised to bounce back; But some say the bubble is about to burst.(News)
• Death-tax repeal could be deadly, some fear; Advisers fret about losing capital gains basis step-up.(News)
• Choked by regulators, should brokers fight back?(Monday Morning)
• Former Morgan Stanley execs spit nails.(Reverse Spin)
• Bush gets poor financial engineering grade; Professor criticizes privatization plan.(News)
• Closing Quote.(Quotes)
• Housing fund to launch.(Short Interests)
• Are 401(k)s headed for a fiduciary meltdown?(Fiduciary Corner)
• The Principal outlines ERISA obligations; White paper aims to educate not-for-profits.(News)
• Fund investors hit with small-balance fees, FRC reports; $10 to $12 fees help offset costs, fund companies say.(News)
• FPA unlikely to get courts to overturn rule; Lawyers say it stands little chance of prevailing on SEC `Merrill' decision.(News)
• RFPs go out for 529 program manager contracts; States' demands, asset base seen shaping the industry's future.(News)
• Traditional ways for valuing stocks are 'useless,' duo argues; Hedge fund execs suggest investors look at price to trailing 10-year earnings.(News)
• Raymond James criticizes SEC penalties; Says the commission is taking too hard a line and calls its decision Draconian.(News)
• Departure of executives from SSgA may indicate culture clash with parent; Tumult follows appointment of Hunt as president and CEO of State Street unit.(News)
• Big Board needs to get its house in order.(Editorial)
• Closing Quote.(Quotes)
• Journalists prefer Fidelity, Vanguard sites.(Short Interests)
• Calendar.(Calendar/Datebook)
• Tax cheating by the self-employed is focus of hearings.(Conference Calls)
• With Dennis B. Clark of Advisor Partners LLC.(News)
• Fidelity defines wealth managers' success; Must understand clients' values, priorities, finances.(News)
• IMCA on rise among executives, advisers.(News)
• One on One With Bill Lowe of ING Financial Horizons.(One on One)
• People.(News)
• Financial, workplace woes linked.(Short Interests)
• The IRS needs to get tougher on tax cheats.(Editorials)
• AFL-CIO: Schwab leader in private-account push; Union holds rallies to protest what it views as the company's stance on Social Security.(News)
• Vanguard has quickly become a big man[ager] on campus; 529-plan partnership with Upromise creates a formidable team.(News)
• Practice, practice, practice.(Short Interests)
• Reg FD eases effects of earnings sticker shock; Stock prices now affected less by surprise results.(News)
• One on One With M. Shawn Dreffein of National Planning Holdings Inc.(One on One)
• Signs of progress as Block redoubles efforts in advice biz; Unit boasts rise in referrals, assets and number of advisers.(News)
• Closing Quote.(Quotes)
• Optimal benefit period for LTC insurance debated; Lifetime option seen as often unnecessary.(News)
• Wilmington Trust makes multifamily-office push; But it faces competition from established players.(News)
• An investment policy statement, done right, is vital.(News)
• Web security is a worry.(Short Interests)
• Bankruptcy reform unlikely to affect their biz, planners say; Many doubt that it will mean more business.(News)
• Fund education gets boost.(Short Interests)
• U.S. Bancorp banking on advisers for fund sales; Award-winning unit hurting in flows and market share.(News)
• Brokers, NASD finally find an issue on which they agree; FSI supports report of SRO task force on funds `in principle'.(News)
• NYSE names jarhead to chairman post.(Reverse Spin)
• Inmates admit to filing 49 fraudulent tax returns.(Tax Watch)
• Turmoil increases at Morgan Stanley.(Briefs)

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