Investment News

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Articles in December 2005 issue of Investment News

• Top term life underwriters ranked by insurance issued.(DataBook)
• U.S. clearing firms ranked by number of clients.(DataBook)
• Top fund firms ranked by average asset-weighted taxable-bond returns.(DataBook)
• Indie broker-dealers stalking big producers; Top firms determined to recruit high-end advisers, offices.(News)
• Large 'mass affluent' market feels underserved by advisers; Investors with 100G to $1M are risk averse, unlikely to have financial plan, notes report.(News)
• Fiserv aims higher in custody plan business; Hopes new brand, technology will help it shed also-ran status.(News)
• ACLI raps bill's travel-based underwriting curb.(Short Interests)
• Elderly make easy marks for the easily credentialed; Unscrupulous advisers prey on the retired.(News)
• Practice what you preach: Track your firm's financials.(Practice Management)
• Lower stock market returns help slow down growth rate; DC record keepers see assets handled gain by just 9.6%.(DC Record Keepers)
• An appeals court ruling means more FLPs may flop with IRS; Casts a shadow over popular tool for estate planning.(News)
• Mounties regulating the regulators? The tax treatment of income trusts brings complaints of corruption.(News)
• Section 529 college savings plans ranked by net assets.(DataBook)
• Charitable-gift funds ranked by assets under management.(DataBook)
• Top 25 taxable-bond funds ranked by year-to-date return.(DataBook)
• Funds slow to adopt volatility ratings; Little impact expected when bond rule becomes permanent.(News)
• Some firms tell brokers to hide their CFPs.(News)
• Growth in 529 assets may be slowing.(Conference Call)
• New VA feature extends benefit to the spouse; Advisers like idea of guarding survivor's income stream.(News)
• At the Bell; GOP seeks add-on to extend 15% rate.(Late News)
• Fund boards likely to assert themselves; But some insiders doubt they will be proactive enough.(News)
• Performance fees attract few converts; Fund companies are not enamored with incentive fees.(News)
• Insider to head exams for SEC Boston office.(Short Interests)
• Fee-only advisers latest to enter hot commercial market; Clients consider 1031 exchanges too good to ignore.(News)
• Socially conscious mutual funds ranked by assets.(DataBook)
• Top defined-contribution service providers ranked by assets.(DataBook)
• Profiling the biggest 401(k) providers.(DataBook)
• Top 25 fund companies ranked by long-term fixed-income assets.(DataBook)
• Diagnosis at GM, Ford: Unbalanced portfolios.(Monday Morning)
• Canadian fund shareholders left unprotected; Duel for fund firm exposes holes in securities regulation.(News)
• Broker network lays down law on Merrill rule; Reps must register with Calif. firm as investment advisers.(News)
• Smith Barney shift: 'Financial advisors'.(Short Interests)
• Accountability seen as key to expanding business; Focus on products could damage adviser practices.(News)
• Fund eases gifts for relief.(Short Interests)
• Lower expenses not synonymous with better investment returns.(The Markets)
• There's going to be a morning after.(Practice Management)
• Nest-egg planning can leave egg on your face.(Other Views)
• Most widely held stocks in equity funds, by % of overall fund assets.(DataBook)
• Top 25 providers of variable annuities ranked by assets.(DataBook)
• Largest managers of third-party-program account assets.(DataBook)
• 25 largest fund companies ranked by average asset-weighted equity returns.(DataBook)
• Disclosure boxes big plus in annuity sales kits.(News)
• Smokers feel pinch in their insurance wallets; Employers to apply surcharges; insurers increasing premiums.(News)
• TD Waterhouse: Don't be late to the party, or else.(Short Interests)
• NASD plans 'risk scores' for broker-dealers; Next Gen program eyes `regulation from a distance'.(News)
• Study: Saving for retirement nearly as hard as quitting smoking.(Short Interests)
• Industry momentum is key factor in sector fund's picks.(Street Wise)
• Investors still fearful of asset allocation, poll finds; Clients resist selling their winners to buy underperformers.(News)
• Congress jumps on abusive sales to military people; NASD, GAO support imposing a ban on periodic-payment plans.(News)
• Top life insurance companies ranked by direct premiums.(DataBook)
• North American wirehouses and regionals ranked by retail reps.(DataBook)
• Top separate-account investment managers ranked by assets.(DataBook)
• Top 25 fund companies ranked by U.S. diversified equity assets, $ in billions.(DataBook)
• SEC appointee sure to feel heat on broker-dealer rule; Effect of possible second extension among growing concerns.(News)
• Wirehouse sweeps raising concerns; Brokers, regulators question lower rates for investors.(News)
• Forex trading come-ons gain currency; Investors encouraged to take gambit with retirement funds.(News)
• U.S. company sued for income trust fraud.(News)
• Antidote to runaway fees: Decouple, disclose.(Editorial)
• 529 network taps Ohioan as chairman.(Short Interests)
• Adviser-author faults costly active management; Offers bare-bones investment strategy, no-frills service.(News)
• Greening of Goldman Sachs may make some clients see red.(Short Interests)
• One on One With Laurence P. Greenberg of Jefferson National Life Insurance Co.(One on One)
• Tax-managed funds ranked by YTD performance.(DataBook)
• Profiles of independent broker-dealers.(DataBook)
• Top proprietary manager consultant programs ranked by assets under management.(DataBook)
• Closing Quote.(Quotes)
• Small custodian to compete with large players; Colorado firm hires Fiserv exec to guide expansion.(News)
• No tears for former NYSE members.(Reverse Spin)
• Fund boards quietly flexing new muscle; `Nuclear option' of firing adviser likely to remain rare despite Clipper move.(News)
• Morningstar to battle Advent for advisers; Will add portfolio accounting software to Advisor Workstation.(News)
• Survey: Hope and reality clash when it comes to paying taxes.(Short Interests)
• Mutual funds outgrow old corporate structure; Independent boards among topics for debate.(News)
• E*TRADE bulking up on advisers; Firm targets dozens of large fee-based practices.(News)
• Can't get 'em for a song.(Short Interests)
• At the Bell; Legg Mason wraps up its deal with Citigroup.(Late News)
• Spitzer sees Greenberg as a grinch.(Reverse Spin)
• Tax-managed equity and bond funds ranked by assets.(DataBook)
• Top independent broker-dealers ranked by gross revenue.(DataBook)
• Top separate-account program sponsors ranked by market share.(DataBook)
• Critics question new, 'improved' equity indexes; Products generate strong performance,creators contend.(News)