Investment News

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Articles in May, 2007 issue of Investment News

• Slim pickings for Russell 2000 arbitrageurs; Structural changes have reduced volatility in annual reconstitution.(News)
• Year-end bonuses look good for Wall St.(Reverse Spin)
• Presto! SEC loses another battle; Cookware maker doesn't have to register as mutual fund, court says.(News)
• Mom knows best when it comes to finances.(Short Interests)
• Private equity flexes muscles, takes lumps.(Reverse Spin)
• Should shareholders have a say on pay? Yes.(Other Views: Point/)
• At the bell.
• With Joseph Borg of the North American Securities Administrators Association Inc.(One on One)
• Workin' 9 to 5 and barely making a billion.(Short Interests)
• Time is right for a shortened prospectus.(Editorial)
• SRO merger now in SEC's court; Some are concerned that self-regulation is at stake.(News)
• FSI wants SEC to change its privacy rule; Calls regulation `cumbersome, costly, time-consuming'.(News)
• As big Canadian listings slip, TSX turns to U.S. Exchange's CEO takes a tour of 10 American cities.(News)
• RJ unit takes internal heat; Stagnant head count among reps troubles parent firm's CEO.(News)
• Battle lines drawn on appeal of broker ruling; Opponents, supporters push their agendas in public.(News)
• Boomers, motorcycles don't seem to mix.(Short Interests)
• Corrections.
• Big firms to D.C. Circuit: Give us a break, please; Dealers fear `disruptions' without additional time to convert accounts.(News)
• Gas seen hitting $3.50 this summer.(Short Interests)
• Mortgage accelerators raise concerns; Products tap borrower's paycheck to lower debt.(News)
• Canada gets the gold.(Short Interests)
• Rule's death no help for investors; Demise of the broker-dealer exemption rule won't clarify fees, role of pros, experts say.(Broker-Dealer Rule)
• Legislators eye tax break on annuities.(Short Interests)
• AthenaInvest beta-tests competitor to style boxes; Firm to go live soon with tool that focuses on 10 strategies.(News)
• Dump the bum - and collect the insurance.(Short Interests)
• LPL is said to play hardball; Reports: It told rival to stop recruiting reps at firms it's buying.(News)
• Funds slow pace of hiring legal, compliance staff; With scandals receding, demand for experts slackens.(News)
• Clarification.(Correction notice)
• Advisers wise to prepare succession plans.(Editorial)
• Making sure you do what you know you should.(Practice Management)
• 'Say on pay' bill for executives is unnecessary.(Monday Morning)
• New service agreement at TD Ameritrade causes flap; Advisers stirred up because contracts arrived during tax time.(News)
• Small firms upset by an NASD hiring; Some members cry foul over role reversal.(News)
• Advisers bristle at race-based assignments; But some contend racial and ethnic bonds can win clients over.(News)
• Net sales of 529 plans reach all-time high; College savings plans raked in $5.2B in 1Q.(News)
• Ameriprise looks to lure talent from rivals; Despite a generous recruiting package, some doubt that the effort will attract reps.(News)
• Opinion poll.
• Antidote to alien impregnation? Insurance.(Monday Morning)
• Boomers beware of parent care woes.(Short Interests)
• Longevity plagues financial planning; New annuity may solve dilemma for some clients.(News)
• Babson wins CFA Institute's college crown.(Short Interests)
• SIFMA defends mandatory-arbitration system; Support comes as legislators call for investor choice.(News)
• Tax planning has role in asset allocation, expert says.(Conference Calls)
• Quiz tackles retirement, aging.(Short Interests)
• Plan sponsor's fail-safe: Using RIA as a co-fiduciary.(Fiduciary Corner)
• At the bell.
• You can't afford to turn a blind eye to client/fiduciary.(Fiduciary Corner)
• Growth fund not afraid to take contrarian stance.(Street Wise)
• Nominate an adviser.(Short Interests)
• Advisers mull effect of McWhinney's exit; No strategic shift seen, but some question chemistry between executives at Schwab.(News)
• Applause for ads.(Short Interests)
• Closing quote.(Reverse Spin)
• Returns on distressed debt piquing investor interest; But advisers aren't particularly enamored of the risky bonds.(News)
• Orange County emerges from L.A.'s shadow; Private equity, real estate drive wealth market.(News)
• Local hot spots boost real estate market.(Reverse Spin)
• Atkins estate battle offers advisers lessons; Ironclad planning said to help avoid such issues.(News)
• Cox, Schapiro tackle disclosure at ICI meeting; SEC chief also addresses future of 12(b)-1 fees.(News)
• Mid-caps' flows middling despite top-notch results; Not owning them may be a mistake, some advisers say.(News)
• Qualified candidates and proper training remain scarce.(Other Views)
• Corporate scandals give rise to fiduciary consulting; Small businesses have vast appetite for the service.(News)
• IRA charitable contributions a one-time tax break.(IRA Alert)
• Calendar.
• Is quest for income old-fashioned alchemy or magic elixir? Companies mull ways to offer guaranteed income.(Mutual Fund Report)
• Separately managed account quandary; Financial advisers like using UMAs; money managers fear they could lose marketing control.(News)
• Closing quote.(Reverse Spin)
• 43% of investors are suckers, survey finds.(Short Interests)
• It is time for clarity in 401(k) fees.(Editorial)
• BofA trims costly PMI; rivals may follow suit; It's slashing closing fees in bid for market share.(News)
• Gearing up for more 401(k) fee disclosure; Some are racing to offer participants information.(News)
• Rewarding helpfulness.(Short Interests)
• Opinion poll.
• Broker-rule decision, PPA called boons to advisers.(Conference Calls)
• In La-La Land, business managers direct finances; Advisers must pass financial gatekeepers before dancing with the stars.(News)
• City National's Lydian deal a bid to attract jet-setters; Plans to open L.A. office by end of summer.(News)
• Round Table panelists.(Mutual Fund Round Table)(Discussion)
• A retro approach to attracting wealthy clients.(Marketing Strategies)
• With Brian A. Murdock of New York Life Investment Management LLC.(One on One)
• Volatility nearing the end of a three-year holiday; 2004-06 period was well below the 30-year average.(News)
• Protesters target Fidelity over Sudan.(Short Interests)
• REITs give student housing the old college try; Demographics favorable, though sector has a number of drawbacks.(News)

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