Investment News

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Articles in August, 2006 issue of Investment News

• Need a CEO? A job description for advisory firms.(Practice Management)
• Doctors can misdiagnose their financial advisers.(Short Interests)
• Alpha: Search for return comes home with ETFs.(Opinion)
• War of words ensues over equity index annuity; Annuity rater blasts marketer's new product.(News)
• What consumers like, investors may also like; Consumer index may provide clue to investment returns.(News)
• Fear of family financial ruin is a potent LTC weapon; But some people will become a 'burden' anyway, some say.(News)
• Which investment is best?(Short Interests)
• Ex-marketer to military beset by woes; First Command suffers legal problems, rep unrest.(News)
• Energy sector is more than oil.(Short Interests)
• Closing Quote.(Quotes)
• Municipal-bond closed-end funds are outperforming their domestic-equity counterparts.(The Markets)
• INVESTMENTNEWS EDITORIAL CONTACTS.(News)(Editorial)
• Investment industry groups: Focus on long term.(News)
• Kudos to CFP Board on updating standards.(Editorial)
• Fund rallies on news of Castro's ailment.(Short Interests)
• High price for justice; Former IFG broker spent time, $1.5 million fighting SEC fraud charges.(News)
• Calendar; August and September, 2006.(Calendar/Datebook)(Calendar)
• Advisers can learn from McAfee's mistake.(Editorial)
• Opinion poll.(Opinion)
• LSV locks down funds.(News)
• A swig of low inflation gives Wall St. relief.(Reverse Spin)
• Practical pointers for regulatory examinations.(Practice Management)
• Investors look to sector funds for portfolio returns.(The Markets)
• Equity index issuer pins slump on NASD; American Equity's 2Q sales plummeted by 32.(News)
• 'Sunset' strip has 529 industry scrambling; States, providers rushing to tout pension bill's blessings.(News)
• Schwab hot on cash.(Short Interests)
• Socialite's alleged woes show planning is key; System of checks and balances crucial to carry out client wishes, advisers say.(News)
• CFP Board proposal on ethics under fire; FPA, NAPFA to challenge fiduciary-responsibility shift.(News)
• No excuses for lack of cost basis information; Taxpayer advocate: Brokers can use reporting services.(News)
• Pension bill seen as good for advisers; Effort to raise estate tax threshold fails in Senate.(News)
• Sears Holdings' bid for Canada unit blocked; OSC rules that company violated law.(News)
• Housing woes spark Wall Street worries.(Reverse Spin)
• Morningstar unveils 529 online tool.(News)
• DTCC seen launching clearing service for separates; Efficiency, lower costs, quicker access, more choice of managers could be result.(News)
• SEI lends its muscle to advisers' proposals; Early experience has been productive.(News)
• Helping cross volatility off clients' worry lists.(Opinion)
• Targeting the middle market; But others question pursuing clients with only $100K to $1M.(News)
• Vice fund seeks to win over assets, advisers; Campaign begins to promote positive aspects of sinful fund.(News)
• Individual 401(k) accounts show explosive growth; Assets tripled in two years, and end isn't in sight.(News)
• VC firm links RIAs with developing world; Scimitar invests in countries such as Iraq.(News)
• CFP Board mulls SEC reg study bid; May seek role in analysis of broker-adviser rules.(News)
• Campfires, poison ivy and finance.(Short Interests)
• Pension act would allow LTC-annuity combos; DOL directed to clarify regs for annuities in 401(k) plans.(News)
• No boomer bust seen for market.(Short Interests)
• Settling on both an annuity and a trust.(Short Interests)
• Two top indie brokers tweak reps' pay; LPL plans '07 raises for brokers; RJ to cap VA commissions.(News)
• SEC may soon OK distribution of settlement money; Wronged investors at Franklin Templeton, Putnam see light at the end of the tunnel.(News)
• Weather risk investors breathing sigh of relief; They are grateful for mild hurricane season.(News)
• Strategy lowers taxes on company stock in 401(k) plans; Use of little-used net unrealized appreciation likely to increase as baby boomers retire.(News)
• Some funds of hedge funds tacking on high fees; But details of charges are usually buried.(News)
• The time may be right for the 'fiduciary only' adviser.(Fiduciary Corner)
• WisdomTree adds to all-star cast.(Short Interests)
• Fight on ID theft gets bogged down in politics.(Monday Morning)
• Wirehouses face challenges in trying to break product focus; New skills and a cultural shift are needed, round-table panelists say.(Round Table)
• Top social index fund has indirect ties to Boeing; Investing in 100%-pure companies is 'impractical,' a Domini portfolio manager says.(News)
• Monetary architect takes on the Fed.(Short Interests)
• Auld quits NEXT Financial, joins rival; Ace recruiter is looking for better quality of life.(News)(Company overview)
• Asset management executives cycle for charity to fight cancer.(Short Interests)
• Firms bolster efforts to woo newly and soon-to-be retired; Ten-year window considered "crucial'' for advisers.(News)
• Deaths of adviser couple seen as murder, suicide; Both former American Express brokers, they faced multiple arbitration complaints.(News)
• One on One With Daria L. Foster of Lord Abbett & Co. LLC.(One on One)
• Hancock Classic Value Fund to close.(At the Bell)
• People.
• MFS at center of deal speculation; Shares of parent Sun Life rise in recent weeks.(News)
• Are advisers headed for a new Gilded Age?(Editorial)
• Banks reluctant to sell securities, despite increasing profitability; Legal and regulatory issues top list of concerns, survey shows.(News)
• NASD, NYSE urge firms to comply on bonds; Stiffer research rules could be imposed if scrutiny is lax.(News)
• Brokers' 2005 earnings, production rise modestly.(Short Interests)
• LPL buying broker-dealer that caters to banks; UVEST deal will add $18 billion in assets.(News)
• At the Bell; Adviser aggregator lands financing.(Late News)
• One on One With Howard Sontag of Sontag Advisory LLC.(One on One)
• Traditional or alternative Indexing? A usage primer.(Other Views)
• Clearing things up.(Clearing Firms)
• Three-in-one fund offers access to large companies.(Street Wise)
• NASD yanks arbitration proposal after protest from plaintiff's bar; Controversial amendment dealt with the handling of dismissal motions.(News)
• Betting on consolidation in financial services.(Street Wise)
• Canada regulators build fund governance regime; Affects 150 managers with more than $561B in assets.(News)
• Grasso's tenure under scrutiny as pay trial looms; Prosecutions of ex-NYSE traders illustrate self-dealing.(News)
• Women nervous about finances.(Short Interests)
• A few managers have outperformed Pimco's Bill Gross; Several have higher 10-year returns, Morningstar says.(News)

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