Investment News

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Articles in May, 2006 issue of Investment News

• Gulf Coast bank prospers despite hurricanes.(Short Interests)
• Housing bubble imperils clients' retirement plans; Many overexposed to real estate, advisers say.(News)
• Form U-5: Unequal justice in state, U.S. courts.(Other Views)
• Break-point rules hurting investors? 'Hamstrung' by rules meant to protect them, a white paper says.(News)
• First Montauk signs merger agreement.(Short Interests)
• SEC seen taking hard line on corporate governance.(Conference Call)
• Social fund to practice hybrid investment style; Light Green Advisors has positioned itself as more mainstream than competitors.(News)
• IRS' 403(b) rule changes concern plan sponsors; 85% are at least somewhat worried, Fidelity study finds.(News)
• Talk of sole Canadian regulator begins to heat up; Budget, report, central banker fuel the issue.(News)
• FPA sets conference on pro bono planning; Responds to growing interest among its advisers.(News)
• FlexibiIity for workers on the rise.(Short Interests)
• Upside spurs leveraged index funds; They are attractive because of single-digit stock performance.(News)
• Funds' grip on advisers loosens as ETFs gain; `Closet indexers' need to change ways.(News)
• Wirehouses' fee-based biz is enjoying torrid growth; How such revenue is defined varies by firm, however.(News)
• Piper reps love UBS retention deal; But they maintain wait-and-see mode.(News)
• Blog designed to relieve referral anxiety.(Short Interests)
• Searching for alpha, you may find trouble.(Monday Morning)
• Intermediaries seek compromise on redemption rule provision; Those failing to provide transaction data to funds would be cut off from trading.(News)
• Mid-caps outperform but are overlooked in 401(k)s; Some prefer to use a large/small mix for diversification.(News)
• Disclosure rules fail to clarify fiduciary role, survey says; Investors found unclear on difference between brokers and advisers.(News)
• New BlackRock sets out to 'empower the region'; First step in merging with Merrill unit.(News)
• SEC seems likely to extend redemption fee deadline; Many mutual fund companies request postponement.(News)
• New fund offers concentration, low turnover.(Street Wise)
• Rising rates, flattish yield curve are producing drab results.(The Markets)
• Employer financial offerings a mixed bag; Some advisers complain of bad advice, high fees; others use the products.(News)
• Peer-to-peer investment group discusses risks from terrorism.(Short Interests)
• Grants boost museums' efforts in financial literacy.(Short Interests)
• Lifting the veil on expenses for fixed-income portfolios.(The Markets)
• For retail SMAs, a marginal existence; Closed after funds but ahead of institutional accounts.(News)
• Social funds get short shrift from advisers.(Short Interests)
• Social fund investing seen on the rise; But growth of funds is limited, some financial advisers say.(News)
• One on One With Richard A. Ferri of Portfolio Solutions LLC.(One on One)
• Compliance, competition top CFO concerns.(News)
• Retirement is in eye of beholder.(Short Interests)
• Calendar.(Calendar/Datebook)
• New face, location and name for Brandywine.(News)
• Academician: Options can mimic returns of hedge fund strategies; Says his portfolio can replicate complex plays like merger arbitrage.(News)
• Disagreement over 12(b)-1 fees makes for heated discussion; Panelists also talk about disclosure, SEC's rulemaking, competition within industry.(Round Table)
• Morgan Stanley puts heat on branch managers; Firm fires some, plans pay cut for others - who get option to produce.(News)
• At the Bell; Federated to acquire quant manager MDT.(Late News)
• Calendar.(Calendar/Datebook)
• Index to reflect 'the market in aggregate'.(Short Interests)
• Merrill exec bullish on Big Bird.(Short Interests)
• Fund winning its bet on China's consumer.(Short Interests)
• At the Bell; Morningstar unveils retirement website.(Late News)
• One on One With Bob Cassato of John Hancock Financial Services Inc.(One on One)
• Coughing up smoker's rates for children; AXA could face class action over higher premiums.(News)
• The rich value attentive insurers.(Short Interests)
• At the Bell; Purcell sets up investment firm.(Late News)
• A shot in the arm for alternatives field; Designation formalizes knowledge of the investments.(News)
• Roundtable Transcript.(Round Table)(Company overview)
• Concierge offers better control of funeral arrangements.(Short Interests)
• Closing Quote.(Quotes)
• People.
• Shift from DB: Will smaller advisers fit in? Smaller firms consider advising plan participants time consuming, expensive.(News)
• Students prove Street savvy.(Short Interests)
• It's time to end the era of tame boards.(Editorial)
• Membership pressing IMCA to initiate outreach campaign; Group seeks alliances, more members, higher visibility.(News)
• When small-cap funds get too big to handle; Spike in closures attributed to closer scrutiny.(News)
• Rydex training focuses on alternative investing.(Short Interests)
• VA sales are up, but flows are down; Many investors switch to ETFs and SMAs.(News)
• 'Significant' changes promised to protect CFP designation; Will include stronger sanctions for violations of practice standards.(News)
• Congress must reconcile pension bills.(Editorial)
• Is it 'do or die' time at TIAA-CREF? Its beleaguered 529 biz fights hard to keep Michigan contract.(News)
• Small-business 401(k) plans growing opportunity for advisers; Demand for fee-only independents has risen in wake of fund trading scandals.(News)
• Somber fate for some ETFs?(Short Interests)
• One on One With John V. Murphy of OppenheimerFunds Inc.(One on One)
• Concentrated portfolios offer comfort but no joy.(Other Views)
• Financial Profiles offers hybrid planning platform.(Product Watch)
• Hedging play faces potential blowup; Holders of big stock positions could owe penalties.(News)
• More advisers jumping into RIA channel; Perils of entrepreneurship said to be among factors in shift to established firms.(News)
• Two of Canada's securities regulators agree to merge; Third industry SRO could be asked to join up later.(News)
• Two different sets of rules for small and big brokers? Panels studying uniformity in NYSE-NASD regulation weigh changes.(News)
• AIG arm is sued for selling 'shelf space' programs; Brokers gave clients recommendations with bias, suit claims.(News)
• As oil prices rise, advisers seek safer energy plays.(News)
• Lawmakers call for windfall tax on oil companies.(Tax Watch)
• Managed assets fall 70% at Hennessee; Bayou blowup spawns suits against firm.(News)
• Schwab Institutional increases referral fees; Big changes are afoot at Advisor Network.(News)
• Independent, objective pension guidance is at stake.(Other Views)
• Regulator sees danger in annuity specialization; Can lead to unsuitable sales, Ala.'s Borg says.(News)

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