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NEWS ARCHIVE
Stories Published Between 7/1/2006 And 10/1/2006
9/29/2006 Scudder Settles Directed Brokerage Case
9/28/2006 22c-2 Compliance Date Extended
9/28/2006 ETFs Could See Streamlined Approval Process
9/28/2006 SEC Exiles Ex-Cornerstone President
9/27/2006 Bisys Settlement Could be Tip of the Iceberg
9/27/2006 Is Spitzer Miffed at Seligman for Fighting Back?
9/27/2006 Adoption Adds Two Billion Plus to NYLIM
9/26/2006 Evergreen Defection Leads to Subadvisory Gig
9/26/2006 Pershing Ups Funds Count
9/22/2006 BGI Adds Five Global Sector ETFs
9/22/2006 BofA Wins Appeal in Eviction Case
9/22/2006 Morgan Stanley Makes Indian Bid
9/21/2006 Spark Institute Weighs In On Proposed 5500 Changes
9/20/2006 NASD Hits MetLife's Three BDs With Fine
9/20/2006 Fido Forms Research Institute
9/20/2006 Direxion Hire Leads the Way to DC and VA
9/19/2006 Fido Adding to European Lineup
9/19/2006 Stock Analyst Downgrades T. Rowe Price
9/19/2006 Lipper Help Funds Strut Their Stuff
9/19/2006 Fido's Reynolds Hits the Slopes
9/18/2006 Second Report of Possible MFS Sale
9/18/2006 Fired ING Wholesaler Heads to NASD Hearing
9/18/2006 Claymore Tries Hand at ETFs
9/15/2006 Fidelity Allies with American Airlines
9/15/2006 Spitzer Targets Late-Trading Broker
9/15/2006 PhoenixFunds Get Wholesaling Chief
9/14/2006 ICON Hires Wholesalers
9/14/2006 Ralph Parks May Go Global ... But Not Yet
9/14/2006 Kopp Unloads its Retail Funds
9/14/2006 T. Rowe Price: No Bid for MFS
9/13/2006 American Funds is in the Spotlights for All the Wrong Reasons
9/13/2006 Mutual Fund Store Plans More Outlets
9/13/2006 State Street Lands JP Morgan Vet for Fund Services
9/13/2006 Legg Mason Shakes Up Colorado 529 Funds
9/12/2006 West Coast Advice Firm Debuts Retirement Income Tool
9/12/2006 Vanguard Woos Advisors with New ETFs
9/12/2006 Wm Blair Closes Emerging Markets Fund
9/12/2006 Access Data Connects with DTCC for 22c-2 Data
9/11/2006 MFS Bidders Emerge
9/11/2006 SEC Censures Five Fund Firms
9/11/2006 Banc of America Sells Two Closed End Funds
9/8/2006 Bear Stearns Case May Show BDs' Complicity in Timing
9/8/2006 WSJ: Time for Restitution
9/8/2006 Northern Trust Plan Expansion in Ireland
9/7/2006 UBS Pulls Trigger on $280 Million Deal
9/7/2006 The TSP Awards Five Fund Mandates
9/7/2006 Russell Indices Basis for Nine New ETFs
9/7/2006 Donor Fund Fees Fall at T. Rowe Price
9/6/2006 New MFS Fund Adds Twist on Other Target Funds
9/6/2006 Touchstone Taps Affiliate as Subadvisor
9/6/2006 US Global Taps Subadvisor For New Fund
9/5/2006 RSS Provides a Way Around Email's Problems
9/4/2006 LABOR DAY
9/1/2006 Ed Jones to Pay $127.5 Million to Settle Fund Cases
9/1/2006 Ameristock To Launch Fixed-Income ETFs
9/1/2006 Real Estate Slump Spells Opportunity For TCW Group
8/31/2006 Higher Stock Price, Earnings Likely For Eaton Vance
8/31/2006 Bisys Releases Delayed Q3 Results
8/31/2006 American Funds Distributors Fined
8/30/2006 Fido Adds to Advisor 401k
8/30/2006 Fund Brings IPOs to the Little Guy
8/29/2006 Hancock Starts Back to School Campaign
8/29/2006 Julius Baer Adds Sales Vision
8/29/2006 Ralph Parks Opens First Fund
8/28/2006 Pru Reportedly Near $600 Million Settlement
8/28/2006 MFS Sales Talk Heats Up
8/28/2006 SSgA Pulls Plug on ETF
8/28/2006 Hancock to Close Pzena Advised Fund
8/25/2006 Small Time Timers Were Funds Biggest Leeches
8/25/2006 A One-Two Mid-Cap Punch From Vanguard
8/24/2006 The Pick of the Litter
8/24/2006 A Mature Benchmark for Emerging Markets Fund
8/24/2006 Earnings: Eaton Vance Disappoints
8/23/2006 SEC OKs Franklin Settlement Plans
8/23/2006 BISYS Taps PFPC as Fund Services SVP
8/23/2006 Pru Hires Hartford Vet
8/23/2006 Active Management: More Bang For Your Buck?
8/22/2006 ICI Continues Fight Against New SEC Rule
8/22/2006 Dimensional Goes Lone Star
8/22/2006 Funds Flow Out of Fidelity
8/22/2006 Morgan Stanley Snags REIT for $1.9 Billion
8/22/2006 Hedge Funds Not an All-Weather Product?
8/21/2006 For Profits, Size Matters Not
8/21/2006 CNBC: See Bogle Fight
8/21/2006 Waddell Forced to Fork out $7.4 million
8/18/2006 DTCC Rolls Out 22c-2 Help
8/18/2006 Biondo Takes Fund to BDs and Supermarkets
8/18/2006 Ex-Waddell & Reed CEO Fights Tax Bill
8/17/2006 Forward Funds Hires CAA
8/17/2006 UMB Lands Victory PM
8/16/2006 MStar's Richly Priced Stock Attracts Notice
8/16/2006 Keystone Guaranteed CSP Loses Surcharge
8/16/2006 Smith Barney Win Helps Other Funds
8/16/2006 Rock Canyon Lengthens Short Fund's Name
8/16/2006 Morgan Stanley Lassoes NYLIM Pair
8/15/2006 WisdomTree Adds Another Wise Man
8/15/2006 Show Me the Sales
8/15/2006 A Prairie Home CIO
8/15/2006 DIA BD Relations Exec Jumps to Rival
8/15/2006 Two-Legged Race for Beantown Venture
8/14/2006 Another Bisys Bye-Bye
8/14/2006 New Fund Firm Makes Giant Bet
8/14/2006 Is STI Classic Funds' Parent for Sale?
8/11/2006 DWS Scudder Bond Pros Pack for the Big Apple
8/11/2006 NASD Cracks Down on CDSC Waiver Ploy at Citi
8/11/2006 PhoenixFunds Exec to Woo BDs
8/10/2006 Reynolds Loses Out on NFL Job
8/10/2006 Vanguard Requires Proof for Fund Sales
8/10/2006 ING BDs Fined Over Directed Brokerage
8/10/2006 Wm Blair Finds Home on Pershing
8/9/2006 Wellington's Growth Forces Hartford Changes
8/9/2006 Thornburg Goes Global
8/9/2006 A Golden Opportunity at Golden Rule?
8/9/2006 Vice Gets New Advice
8/9/2006 OppFunds Rolls Out Retirement Income Planning Program
8/8/2006 Is Hondros Packing?
8/8/2006 Beating a Path from Closed-Ends to ETFs
8/8/2006 Dems Improve Standing with Fund Donors
8/8/2006 Weiss Sells Ratings Group
8/8/2006 ProShares Adds Sales Pro
8/7/2006 WSJ's Windfall May be a Mirage
8/7/2006 Stodgier Firms Win in Morningstar's Newest Measure
8/7/2006 Glassman Plans to Stay in Administration
8/7/2006 Gabelli Sets Aside $12 Million for Timer Settlement
8/4/2006 Munder Sold in Management Buyout
8/4/2006 Senate Passes Pension Act
8/4/2006 IXIS Eyes HNW and Bank Trust Markets
8/4/2006 Affinity Moves Forward with Fund
8/4/2006 Fund Firms See Bottom Lines Go Separate Ways
8/3/2006 CSAM Swings the Axe
8/3/2006 Janus Loses $2.5 Billion Sub Mandate
8/3/2006 Boston Behemoth Bets on Tarheel Workers
8/3/2006 Hancock Adds to 529 Offering
8/3/2006 Franklin Templeton Rolls Out Target Date Funds
8/2/2006 Would the NFL's Gain be McColgan's Too?
8/2/2006 $500 Looks Good to American Century
8/2/2006 Evergreen Steps Quick to Leverage MetWest Pick Up
8/2/2006 Lawyers Surrender to American Century on Fee Suit
8/2/2006 Putnam Premier Holders Get Another Vote
8/1/2006 Fidelity's Reynolds May Be Changing Teams
8/1/2006 MFS: A Time to Acquire?
8/1/2006 Legal Eagle Joins ProFunds
8/1/2006 Hennessy Sees Growth Spurt
8/1/2006 SEC Targets Three ex-Janus Execs
7/31/2006 Kam Can Blog
7/31/2006 Cap Group's Growing Heft Draws Growing Scrutiny
7/31/2006 Alliance: Bernstein In, Capital Out
7/28/2006 Q2 Loves You (Unless You're Janus)
7/28/2006 CUNA Expands MEMBERShip
7/28/2006 New Salesman and Sector ETFs at WisdomTree
7/28/2006 Pennsylvania Partners Procure Picker
7/28/2006 Windy World-Class REIT
7/27/2006 Rocky Mountain Marketer Revamps Adviser's Site
7/27/2006 Activism: Coming Soon to a Fund Near You?
7/27/2006 A 'BRIC' of Gold
7/27/2006 State Street Rolls Out the Money
7/27/2006 So Far Q2 Reports Cards are Better Than Expected
7/26/2006 Principal Picks Up WaMu Funds
7/26/2006 AIG Elevates Its Own
7/26/2006 Changing Direxion
7/26/2006 Better Performers Invest in Their Own Funds
7/25/2006 Janus Founder Practices Cutting Moves
7/25/2006 Watch Out for Falling Stocks
7/24/2006 British Investment Manager Gobbles Big Apple Restructuring Firm
7/24/2006 Buckeye Company Switches Fund's Sub-Advisor
7/24/2006 Show Me Show You How to Spend
7/21/2006 DeAM Brings European Manager to American Investors
7/21/2006 Fido Starts "Beantown Ferry"
7/21/2006 Pseudo Active ETFs or Index Nouveau
7/20/2006 Morningstar Analyst Offers Free Advice to Capital Group
7/20/2006 Fund Managers Bag Higher Prices in a Record Market
7/20/2006 Bay State Asset Manager Promotes Top Lawyer
7/20/2006 Putnam Will Send Out its TA Efforts
7/19/2006 SSgA Makes Alpha Bet
7/19/2006 Driscoll Steps Down at Delaware Investments
7/19/2006 OppFunds Adds Two More Munis
7/19/2006 Rough Weather Ahead?
7/18/2006 Ariel Funds Converts to Access Data
7/18/2006 It's Moving Day for Fido Workers in Rhode Island
7/18/2006 Putnam Trustees Recommend
7/18/2006 MLIM Lands SSgA Product Pro
7/17/2006 Barclays Shoots for NYSE With Oil Notes
7/17/2006 Morningstar 'Substantially' Boosts Non-MF Data
7/17/2006 Virginia Company Plans Eclectic Fund
7/17/2006 Federated Gains Funds With Acquisition
7/14/2006 The Hartford Rewards MF Executive
7/14/2006 Are Donuts Unethical?
7/14/2006 RiverSource President to Step Down
7/14/2006 Evergreen Has Tall Ambitions
7/14/2006 'Manager of the Decade' Hits Doldrums
7/13/2006 A Fresh Batch from ProShares
7/13/2006 Gabelli Reaches Settlement Deal
7/13/2006 Direxion Says No Thanks to IRS Commodity Headaches
7/13/2006 Janus Bets on Titan's Strength
7/13/2006 SEC Approves Soft Dollar Rules 5-0
7/12/2006 Legg Still Spring Cleaning its Fund Store
7/12/2006 Texas Group Fires Institutional Triple Shot
7/12/2006 Bank's MF Family Joins Pershing Program
7/12/2006 Former Putnam CFO Migrates South
7/12/2006 A Hard Look at Soft Dollars
7/11/2006 UK Firm Adds to US Family
7/11/2006 Time to Present Your STAR Qualities
7/11/2006 Major Fund Firm Featured on Financial Site for Women
7/11/2006 First Trust Sees Future of ETFs in Alpha
7/11/2006 American Century Gives Newly Retired a Hand
7/11/2006 DTCC: Upgrades Almost Ready
7/11/2006 PA Newcomer Seeks Foreign Dividends
7/10/2006 Franklin Strikes With A Balance
7/10/2006 Transfer Agency Software Provider Adds New Tool
7/10/2006 Morningstar to Buy Australian Financial Info Firm
7/10/2006 Fundamental Indexing, Part II: Cap-Weighted Strikes Back
7/10/2006 NJ Firm Expands Lifestyle Choices
7/10/2006 Hancock Tries Winning Recipe on Largest Caps
7/7/2006 A Revolution in Indexing?
7/7/2006 No Laptop Missing, But Where's the Data?
7/7/2006 Alleluia, Short-Term Savings
7/7/2006 EU Fund Industry Snagged By 'Onerous' Regs
7/7/2006 Latest on Sale of Michigan Fund Company
7/6/2006 'VIPERs' Failed to Strike
7/6/2006 Litman/Gregory Hands Fifth Fund to 'Masters'
7/6/2006 Reinvented Fund Plays to Boomer Market
7/6/2006 Star Oppenheimer Offering Weathers Transition
7/6/2006 Deutsche Piles On More Distribution Muscle
7/5/2006 AARP Funds Get Industry Veteran as CIO
7/5/2006 Ohio Fund Group Heading for the Big City
7/5/2006 Lipper to Lose Analyst Cassidy
7/5/2006 Board Directors Share Tips on Fund Mergers
7/5/2006 Fidelity Fund Gets New Manager
7/5/2006 Cleveland Firm Lures Five from Franklin Templeton Affiliate
7/4/2006 Independence Day
7/3/2006 Independence Day


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