Investment News

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Articles in February, 2007 issue of Investment News

• Closing quote.(Reverse Spin)
• SEC cuts fees for trades and registration filings; Commission cites rising volumes in securities trading.(News)
• Ball's back on the Street, unscathed by old scandals; Like Hutton and Pru, his current firm has regulators' attention.(News)
• Tips on pushing that compliance rock up the hill.(Other Views)
• Opinion poll.
• Virginia is a beacon to 'risk-weary savers'.(Short Interests)
• Managed accounts face uphill battle, some say.(Conference Call)
• Advisers said to be missing out on potential clients.(Conference Calls)
• VA industry unveiling electronic processing; Standardized suitability and compliance could speed transactions of all annuities.(News)
• Closing quote.(Reverse Spin)
• With Ray Sclafani of ClientWISE LLC.(One on One)
• Calendar.(Calendar)
• Fund fees matter, but quality is bigger part of the mix.(Other Views)
• Advisers lukewarm on alternative energy; Category called `too speculative' for mom-and-pop investors.(News)
• Year-old roll-up firm triples assets to $15B; Focus Financial adds 3 wealth managers, bringing its total to 9.(News)
• Lawmaker changes horses on income stream comments; Pomeroy says he isn't pro-annuities or anti-nest-egg.(News)
• At the bell.
• Reap the rewards but maintain asset allocation discipline.(The Markets: International Funds)
• Middle-market retirement plans an opportunity for intermediaries.(Other Views)
• Citigroup, Blackstone launch $5 billion fund to invest in India; Focus will be on the country's infrastructure.(News)
• Managing the managers: Look beyond the numbers.(Investment Strategies)
• Waddell coy on prospects for a sale; Surge by Ivy Funds highlights turnaround.(News)
• Nouveau riche can say 'thank you' to their advisers.(Short Interests)
• Broker-dealers focus intently on transitions; Redoubling efforts to ease succession for reps' practices.(News)
• Cost basis reporting not as simple as it appears; Proposal to require brokers and fund companies to track this could cause problems.(News)
• Calendar.(Calendar)
• Mass. hedge fund scrutiny called a 'sting operation'; Complaint challenges First Amendment, manager Goldstein says.(News)
• Calif. court: State can sue American Funds.(News)
• People.
• Merrill pads its lead in race for assets; Smith Barney, Morgan still lag behind.(News)
• Franklin Resources expanding in India; Indian employees account for 15% of the work force of the California fund firm.(News)
• Class action litigation looms as new hurdle for EIA insurers; Elderly bilked by high commissions, long surrender periods.(News)
• CEO role not for Schwab's McWhinney? Bettinger, taking No. 2 post, in line to succeed founder in two years.(News)
• Wholesaling efforts are falling short, report says; More `rigor' necessary for firms to develop full sales potential.(News)
• Yet another CEO parts ways with the Pacific Select Group; Broker-dealers likely to be sold off.(News)
• John Hancock ups the ante in cash value guarantees; New life policy to compete with mutual insurers' dividends.(News)
• Disclose costs, please.(Short Interests)
• Treasury expected to rework 529 regs.(Conference Calls)
• Startup firm allows homeowners to tap equity without payments; Real Estate Equity Exchange pays cash against appreciation, but some question idea.(News)
• Money battles top list of fights.(Short Interests)
• OppenheimerFunds versus TIAA-CREF.(Reverse Spin)
• Third World funds are first here; Small funds.(The Markets)
• Gaming fund is performing well but not raking it in.(Street Wise)
• Cornfed, not corn fueled, is the way to go.(Monday Morning)
• Merrill reaches out to First Republic clients.(Reverse Spin)
• BISYS, Beauchamp offer hedge fund tool.(Product Watch)
• Royal alums aim to build national firms; Goldberg, Edelman plan to expand differently, however.(News)
• Experts expect DB plans to remain open to new members 20 years from now; Dramatic shift in their structure deemed necessary.(Special Report: Pensions)
• New Hartford marketing campaign aims to sell retirement plans; Firm wants to educate advisers on the Pension Protection Act.(News)
• Start maximizing clients' IRA contributions.(IRS Alert)
• Opinion poll.
• The SEC's allegiance is put in doubt.(Editorials)
• Bean counters in Canada go green.(Short Interests)
• Wealth management's future seen as bright; But advisers grapple with how to service clients, structure fees.(Financial Adviser Round Table)
• Saturna's new plans.(Short Interests)
• 'Empty voting' ploy used by hedge funds is on SEC's radar; Issue creating `headache' for stock lending pros.(News)
• Many pessimistic about financial future, study shows.(News)
• New report boosts idea of federal regulation of insurers; Congress likely to revisit legislation to allow optional federal charter.(News)
• Labor Dept. targets 401(k) fee disclosure; Advisers fear a `mound' of paperwork will result.(News)
• Record IPO may bring closed-end-fund resurgence; Funds well-suited to strategies that `offer a nice yield'.(News)
• SEC dragging its heels on point-of-sale rule.(Editorial)
• Janus, Ironman triathletes go the distance for charities.(Short Interests)
• Year of the Pig may put investors in hog heaven.(Short Interests)
• DOL guidance may hurt independent providers; But reg loophole seen as a big win for fund firms.(News)
• Budget includes another 529 boon from Bush; Plan assets would get exemption in deciding federal-aid eligibility.(News)
• Brokerages slow to reveal sales pact details; Driving the improvements are some legal worries in disclosure practices.(News)
• Advisers best defense against misuse of ETFs.(Editorials)
• Financial adviser round table.(Round Table)(Company overview)
• New spin on old idea.(Short Interests)
• Opinion poll.
• SEC backing off on B share cases? But brokers aren't off the hook yet.(News)
• Opinion poll.
• With Christopher M. 'Kip' Condron of AXA Financial Inc.(One on One)
• Merrill Lynch gets lumps of coal.(Short Interests)
• Economist: Globalization causes 'economic insecurity'.(Short Interests)
• CORRECTIONS.
• Lifetime-guarantee annuities could end up biting insurers; Some fear that companies offering the products assume too much risk.(News)
• A hidden perk: Antitrust filing fee reimbursement; Shareholders foot top execs' bills for HSR compliance.(News)
• People.
• Advisers could be fall guys in a $317M 'Ponzi scheme'; Former manager of boy bands is sought in alleged 15-year scam.(News)

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