Investment News

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Articles in April, 2007 issue of Investment News

• ICI throws its weight behind advisers; Group's support seen as making case for 12(b)-1 fees.(News)
• It's never too early for AMT avoidance strategies; Advisers, tax specialists begin gearing up for 2007 returns.(News)
• TIAA-CREF to ramp up advice effort; It plans to open eight offices this year.(News)
• SRO merger called good deal for indies.(Conference Calls)
• Study disputes egalitarian roles in investing.(Short Interests)
• Tales from the IRS.(IRA Alert)
• FPA hopes to leverage court ruling; Sees it as a chance to lure large firms.(News)
• Gross revenue for top 25 indie firms crosses $10B mark; But growth pace declined in 2006 for the second consecutive year.(Independent Broker-Dealers)
• Zecco: It takes a village.(Short Interests)
• Multistrategy hedge funds dazzle investors; Opportunities are abundant, but risks are magnified.(News)
• Smith Barney not for sale, executive says.(News)
• With Michael Bell of Curian Capital LLC.(One on One)
• SEC chief missed the boat at budget hearing.(Editorial)
• Potential axing of 12(b)-1 fees worries advisers; Repeal an option, according to Donohue.(News)
• Enron execs' desks fail to draw big bidders.(Short Interests)
• AMT debate may pave way to tax simplification, some say; Republicans said to favor repeal of parallel tax.(News)
• Congress aims at less affluent in its retirement savings efforts; Critics say that some of the plans could hurt 401(k)s, however.(News)
• Advisers get NAIC advice on insurance.(Short Interests)
• Industry internships target black colleges; Nine companies, MMI, NAACP team up.(News)
• Correction.(Correction notice)
• Googling for financial advisers; Search giant takes on Yahoo! Finance as site of choice.(News)
• T. Rowe gets into 401(k) annuities; Employees shop online for competitive bids.(News)
• Cash flow reigns supreme in fund's selections.(Street Wise)
• Hedge fund heyday - bigger is better.(Reverse Spin)
• Income trusts' tax incentive in jeopardy.(Short Interests)
• This year, tax freedom comes later.(Short Interests)
• Fund group says rule review could have merit; Think-tankers' book proposes axing fund boards in wide overhaul.(News)
• IRS pending regulations seen as consolidating 403(b) market; Providers jockey for position in anticipation, industry observers say.(News)
• Beggar in India has life insurance.(Short Interests)
• IT spending on rise at financial services firms, survey shows; They are listening to retail clients, analyst says.(News)
• Futures firm farms out HSA financing.(Short Interests)
• Innovation seen as key for investment management.(Conference Call)
• Rallying cry - debate over market direction.(Reverse Spin)
• Target date funds off target, critics say; Claim asset mix is too skewed to equities.(News)
• Deal makers' folly: Lax due diligence.(Short Interests)
• Investors in the PBHG case receive $125M distribution; 2 more payouts planned by Sept. 30, according to SEC.(News)
• Hands off my property.(Short Interests)
• Funds often benefit from size.(The Markets)
• Beneficiary audits can help you boost rollover assets.(Practice Management)
• SEC's authority called into question; May narrow type of rules it undertakes, former director says.(News)
• Some cheeseheads love HSAs.(Short Interests)
• Sale of parent Mellon has Dreyfus in flux; Brand will survive, but company's structure post-merger is unclear, says chairman.(News)
• The U.S. housing market's grim reality.(Other Views)
• NAIFA is shipshape.(Short Interests)
• The smallest 529 plan weighs consolidation.(News)
• NASD to emphasize regulation 'principles'; `One size fits all' rulemaking isn't the way to go, Schapiro says.(News)
• Court rejects broker-dealer exemption rule; 2-1 decision marks a big win for the FPA and a setback for SEC.(News)
• Spreading the tax risk in retirement portfolios urged; Using Roths said to take uncertainty out of future taxes.(News)
• Previously, we asked you: What do you consider a safe withdrawal rate from an investment portfolio for a client's first year of retirement, assuming that subsequent annual withdrawals will be adjusted for inflation?(Opinion Poll)
• New planning grads face good prospects; Jobs are plentiful, salaries generous.(News)
• Forget skill; fees drive bond fund returns; Retail loads hurt performance, observers say.(News)
• Universal life's market share reaches 40%; Guaranteed death benefits, premiums are luring clients despite policy `pitfalls'.(News)
• Hey there, insurance agent: We can make you an RIA; Some say firm may draw NASD scrutiny over `skirting' of rules.(News)
• ERISA regulation trumps prenuptial agreement.(IRA Alert)
• Smith Barney reps ecstatic over cost cuts; They applaud bureaucracy slashing by top executives.(News)
• People.
• Toxic products a growing issue in proxy resolutions.(Short Interests)
• Stock-trading venue is placed on ice.(Short Interests)
• Vanguard program draws hedge fund shares; It has accepted 20 such donations in the past 15 months.(News)
• WisdomTree to launch 401(k) platform for ETFs; Some are skeptical of company's approach.(News)
• Wall Street's unlikely populist prophet.(Reverse Spin)
• SRO merger suit: The battle begins; Court orders initial document production; Schapiro, others at NASD may be deposed.(News)
• It's not what you get, it's what you get to keep.(The Markets)
• Differentiation is called key to wealth managers' success.(Conference Call)
• The investment buzz has come almost full circle.(Other Views)
• Correction.(Correction notice)
• Manager is blase about fund's high turnover.(Street Wise)
• In-play telecom probed for release denying talks; Canadian regulator examines trading in BCE's stock.(News)
• With Norman R. Malo of National Financial Services LLC.(One on One)
• LTC industry needs to be investigated.(Editorial)
• With Fred Reish of Reish Luftman Reicher & Cohen.(One on One)
• InvestmentNews directory of independent broker-dealers.(Independent Broker-Dealers)
• Shareholders hold companies' feet to fire.(Monday Morning)
• Two high-yield funds aim to help hedge risk; But advisers are cool to offerings from Rydex and Barclays.(News)
• Calendar.
• Reporter's ethical lapse sullies journalism.(Editorial)
• Closing quote.(Reverse Spin)
• Exemption rule decision no victory for consumers.(Other Views)
• No longer the domain of hippies, green investing goes mainstream; Once-fringe investment style gains prominence among advisers.(News)
• Cox: Proxies aren't in 'plain English' despite new rules; SEC aims to improve 401(k) disclosure, chairman says.(News)

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