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News Stories Archives - Since 1998
These Inflows Jumped $94B In a Month The M* team updates U.S. flows data for August 2023 for money market mutual funds... MutualFundWire.com - Thursday, September 28, 2023
In Ohio, a KPA Builds a 401k Product For Lawyers The firm is based near Columbus in Central Ohio... 401kWire.com - Thursday, September 28, 2023
Four PEPs xChange Their Trustees All four plans share the same PPP, and all four are making the same trustee switch... 401kWire.com - Thursday, September 28, 2023
A DoL-Vet-Turned-Entrepreneur Fights 401k Theft His new SoCal startup is designed to help prevent unauthorized retirement plan distributions... 401kWire.com - Thursday, September 28, 2023
Six of 2023's Most Powerful Women In Asset Management Fundsters make up 24 percent of a trade pub's new list of powerful women in finance... MutualFundWire.com - Thursday, September 28, 2023
A Five-Plan, $10B-AUA System Consolidates to One RKer The plan sponsor formerly had two defined contribution recordkeepers... 401kWire.com - Thursday, September 28, 2023
Schwab Leads With $19.9B The M* team updates U.S. flows data for August 2022 for money market mutual funds... MutualFundWire.com - Wednesday, September 28, 2022
An M&A Exec Exits a $748B-AUA RKer The executive is joining an IT company as head of corporate development and M&A... 401kWire.com - Wednesday, September 28, 2022 - Reader Rating: 5
A $5.5B-AUMA RIA Teams Up With a Midwestern RKer The partnership includes AMAs and a branded small-plan solution... 401kWire.com - Wednesday, September 28, 2022 - Reader Rating: 5
Four of the Best RKers For Women In 2022 A business magazine teams up with a workplace culture specialist to recognize 100 large employers and 25 smaller employers... 401kWire.com - Wednesday, September 28, 2022
Three of the Best Fund Firms For Women In 2022 A business magazine teams up with a workplace culture specialist to recognize 100 large employers and 25 smaller employers... MutualFundWire.com - Wednesday, September 28, 2022
A 10-Year LPL Vet Joins an Aggregator Updated \| The veteran KPA support executive has signed on with a PE-backed firm... 401kWire.com - Wednesday, September 28, 2022 - Reader Rating: 5
Active and Passive Inflows Both Rebound By 35 Percent The M* team updates U.S. flows data for August 2021 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Tuesday, September 28, 2021
A Unit At a Giant RKer Is Hiring 325 The move will increase the unit's size by 50 percent by the end of 2021... 401kWire.com - Tuesday, September 28, 2021 - Reader Rating: 5
Two Years In, a 401k Vet Shifts at Transamerica The executive will now focus on supporting the recordkeeper's TPA allies... 401kWire.com - Tuesday, September 28, 2021 - Reader Rating: 5
A West Coast RKer Launches a Micro 401k The new offering is geared towards plans with up to $2 million in assets... 401kWire.com - Tuesday, September 28, 2021
It's Back to the Branding Future For a $1.7B-AUM Boutique, And ... The firm is also going all-in on ETFs, converting its remaining mutual funds... MutualFundWire.com - Tuesday, September 28, 2021
A 28-Year Principal Vet Lands At a KPA Shop In her new role, she will focus her efforts on mega-market plans... 401kWire.com - Tuesday, September 28, 2021 - Reader Rating: 3.8
ShareBuilder Begins Partnering With a Nonprofit The online, micro-market 401(k) provider is teaming up with a nearby organization... 401kWire.com - Monday, September 28, 2020
Who's Considering Tapping Their 401ks Mid-Crisis? New research sheds some light on Americans' interest in withdrawing money during the COVID-19 pandemic... 401kWire.com - Monday, September 28, 2020
Voya Unveils Live and On-Demand Video Education The publicly traded RKer unveils a new program for supporting participants... 401kWire.com - Monday, September 28, 2020 - Reader Rating: 3.5
Will Gundlach Leave Cali? The high profile fundster publicly muses about folks leaving the Golden State "to escape incompetent governance.".. MutualFundWire.com - Monday, September 28, 2020
Week In Preview, September 28 - October 4 This week, the teams at Advisor2X, ASPPA, Fi360, Grant Thornton, NAGDCA, NAPA, Nasdaq, Stradley Ronon, Wilmington Trust, and WiPN are hosting online events... 401kWire.com - Monday, September 28, 2020
Week In Preview, September 28 - October 4 This week, the teams at the Expect Miracles Foundation, ETF Express, FPA, ICI, IMEA, and MFDF are hosting events... MutualFundWire.com - Monday, September 28, 2020
Waggoner Resurfaces The veteran mutual fund and personal finance reporter takes an editing job... MutualFundWire.com - Friday, September 28, 2018
Klein Hires to Amp Up Marketing The PCS chief brings on a Lincoln alum as the firm's first ever marketing chief... 401kWire.com - Friday, September 28, 2018 - Reader Rating: 5
Four 401k Shops Gain Ink For Fast Growth A magazine recognizes the fastest growing companies in the U.S... 401kWire.com - Friday, September 28, 2018 - Reader Rating: 5
After 16 Years, a Wholesaling Vet Returns to MassMutual His new role is outside of both wholesaling and the DC business, though... 401kWire.com - Friday, September 28, 2018 - Reader Rating: 5
FIS' Reliance Teams Up For $7.7B In CITs A publicly traded giant is allying with the software titan's trust arm... 401kWire.com - Friday, September 28, 2018 - Reader Rating: 5
Three AMs, $549.8B, One Familiar New Name A publicly traded financial services titan reveals the new name for a freshly merged asset management subsidiary... MutualFundWire.com - Friday, September 28, 2018
For $1.2B, Marty Flanagan Does It Again As long rumored, Invesco is buying another ETF business, this time in the U.S... MutualFundWire.com - Thursday, September 28, 2017
A 22-Year Mercer DC Vet Retires The consulting firm says goodbye to a defined contribution specialist on the West Coast... 401kWire.com - Thursday, September 28, 2017 - Reader Rating: 3
Porteous Jumps Into Phase Two of SSgA's DC I-O Push Two years in, he is expanding his team and trying to be more of a disrupter... 401kWire.com - Thursday, September 28, 2017 - Reader Rating: 2
New Fund Fuss - September 28, 2017 A roundup of recent launches and other industry news... MutualFundWire.com - Thursday, September 28, 2017
Hung Picks Fisher's Successor at MainStay The New York Life Investment Management CEO promotes one of her own... MutualFundWire.com - Thursday, September 28, 2017
A Niche RKing Giant Extends Its DC I-O Reach The move comes a year after shifting its mutual fund assets into its collective funds... 401kWire.com - Thursday, September 28, 2017 - Reader Rating: 5
Merrill Wins Over a Veteran Ameriprise KPA A retirement plan advisor in the Pacific Northwest just switched B-Ds... 401kWire.com - Thursday, September 28, 2017
Will Another Japanese Giant Buy Into U.S. Asset Management? A life insurance company on the other side of the Pacific reportedly could shell out hundreds of millions of dollars for a slice of an American mutual fund shop... MutualFundWire.com - Thursday, September 28, 2017
Mercer Expands Its Fiduciary Role With Plan Sponsors Tom Murphy, senior partner at Mercer, took some time to speak with 401kWire. .. 401kWire.com - Wednesday, September 28, 2016 - Reader Rating: 3.33
The New Fund Fuss - September 28, 2016 A listing all of the funds making their grand debut! .. MutualFundWire.com - Wednesday, September 28, 2016
Marty Flanagan Still Sees a Post-Crisis World The Invesco chief talks to FAs and home office execs at his investment symposium in the Big Apple... MutualFundWire.com - Wednesday, September 28, 2016
AXA Debuts CITs New CITs broaden the asset manager's offerings to clients. .. 401kWire.com - Wednesday, September 28, 2016 - Reader Rating: 1
SEI Launches CITs for a $10B Shop The new collective investment trusts will be based on the same strategies that power the boutique's two mutual funds... 401kWire.com - Wednesday, September 28, 2016 - Reader Rating: 3
VALIC Picks Up a Colorado 401a The 401a is a new plan that's expected to open in January 2017. .. 401kWire.com - Wednesday, September 28, 2016
Today Invesco and Ultimus Make Their Pitches In Person The multinational asset manager and the mutual fund back-office shop are both kicking off client events today... MutualFundWire.com - Wednesday, September 28, 2016
Ascensus Is Being Sold! Ascensus, who supports more than 1.7 million retirement plan participants, is being sold... 401kWire.com - Monday, September 28, 2015 - Reader Rating: 4.4
$11 Billion Government Plan Switches RKers Who will take this Golden State plan?.. 401kWire.com - Monday, September 28, 2015 - Reader Rating: 5
ICI's Blass Rallies Fundsters Around Four Issues The trade group's general counsel gave a keynote address at the tax and accounting conference this morning. MFWire sat down with Blass afterwards... MutualFundWire.com - Monday, September 28, 2015
NAGDCA Conference: Provider Consolidation and Classified Cupcakes NAGDCA kicks off its conference in Indy..... 401kWire.com - Monday, September 28, 2015 - Reader Rating: 5
This KPA Shop Welcomes Pensionmark to the Nation's Capitol This 401(k) plan advisor affiliation becomes Pensionmark�s first office in Washington, D.C... 401kWire.com - Monday, September 28, 2015
Transamerica's Kent Callahan 'Excited' About M&A with Mercer Transamerica is moving up in the ranks and will increase its participant count by 917,000 at the close of the deal... 401kWire.com - Monday, September 28, 2015
FPA BE Boston 2015 In Pictures Here's a visual look at the CFP trade group's annual conference... MutualFundWire.com - Monday, September 28, 2015
White Makes Good On a Fund Reg Promise While Giving Ground On SEC Courts Last week was a busy one at the SEC, even just in the pieces that fundsters care about... MutualFundWire.com - Monday, September 28, 2015
UPDATED: Nelson Peltz Starts Dumping Legg Mason Shares, Or Not SEC filings show Nelson Peltz is starting to sell off his Legg Mason stake... MutualFundWire.com - Friday, September 28, 2012
A Mercer Vet Pairs With a Top Advisor A Carolinas shop welcomes a 30-plus-year industry veteran in a newly-created role... 401kWire.com - Friday, September 28, 2012
Hewitt Hires from Morningstar The new hire will work with the consultant's Institutional Advisory Solutions group... 401kWire.com - Friday, September 28, 2012 - Reader Rating: 5
An Alts Shop Wants Wholesalers CEO aims to hire immediately... MutualFundWire.com - Friday, September 28, 2012
Ron Bush Starts a New Venture The industry insider has a new site for TPAs... 401kWire.com - Friday, September 28, 2012 - Reader Rating: 1
BlackRock and the ICI: Ready to Compromise on Money Funds? The trade group and the fund giant have both issued statements that suggest a willingness to negotiate with regulators, following Geithner's push for MMF reform through the FSOC... MutualFundWire.com - Friday, September 28, 2012
A Former BlackRock Wholesaler Dodges Felony Charges A local couple had accused the Philadelphia-based wholesaler of deceiving them into a group investment scheme... MutualFundWire.com - Friday, September 28, 2012 - Reader Rating: 3
Fidelity Sees a Company Stock Shift The survey results find most of these funds are being set for investments... 401kWire.com - Friday, September 28, 2012 - Reader Rating: 1
Lincoln Financial Lays Off 130; The Effect on DC Is Unknown The Philadelphia area company has had across the board layoffs... 401kWire.com - Friday, September 28, 2012 - Reader Rating: 3.33
Stork and Reaper for September 28, 2012 Storks build 15 new units, while Reapers razed 40... MutualFundWire.com - Friday, September 28, 2012
A CIT Firm Swipes an SEI Director The new director of Northeast Retirement Services will build its CIT business... 401kWire.com - Friday, September 28, 2012
FPA Hires a New Distributor for Its $20B Family The Los Angeles-based fund shop has hired a Midwestern distributor and underwriter... MutualFundWire.com - Friday, September 28, 2012
A Judge Tosses a Janus Pay Case The fund shop has successfully had a case against it dismissed... MutualFundWire.com - Friday, September 28, 2012
ALPS Launches a Fund Trust and Bags New Clients The fund servicer now has a trust, with one entry so far... MutualFundWire.com - Friday, September 28, 2012
Delaware Scores an NHL Vet The investment manager has expanded its sales force and added a sales region... MutualFundWire.com - Friday, September 28, 2012
Post-Merger, an NY TPA Moves East A 60-employee office will shift about 12 miles further from Manhattan... 401kWire.com - Friday, September 28, 2012 - Reader Rating: 2
Coppers Arrest Two in the Gundlach Art Theft The art and financial worlds are abuzz about the recovery of the DoubleLine bond fund guru's stolen art... MutualFundWire.com - Friday, September 28, 2012 - Reader Rating: 2
What Will Invesco's India Deal Cost? The WSJ follows up on Marty Flanagan's acquisition in the subcontinent... MutualFundWire.com - Friday, September 28, 2012
A Whistleblower Lawsuit Continues to Plague Alger The fund firm fails to get a wrongful termination lawsuit filed against it by a former PM dismissed. .. MutualFundWire.com - Friday, September 28, 2012
M* Swings at Active Underperformers Analyst scrutinizes four long-tenured laggards... MutualFundWire.com - Friday, September 28, 2012
Here's More Speculation on Mr. Fink Going to Washington Though he doesn't seem to be the lead candidate, Fox Business News thinks Larry Fink could still be in the running for Treasury Secretary if Obama wins reelection... MutualFundWire.com - Friday, September 28, 2012
Brokerages Delay Complex New ETFs, Finds Reuters Wirehouse heads need extra time to conduct due diligence � even if they don't put the products on the market at all. .. MutualFundWire.com - Friday, September 28, 2012
What Schwab's ETF Cuts Really Mean Last week's announcement has spurred a lengthy report from IndexUniverse .. MutualFundWire.com - Friday, September 28, 2012
Jacksonville Rides Fidelity's Tide Kathleen Murphy says of area: "We're absolutely committed.".. MutualFundWire.com - Friday, September 28, 2012
Just Call it Diversified Diversified hopes it name change reflects its suite of services and products... 401kWire.com - Wednesday, September 28, 2011
Campbell's Loses its Taste for Fidelity The canned soup concern has a shelved Fido... 401kWire.com - Wednesday, September 28, 2011 - Reader Rating: 2
BPAS Brings Non-Payroll Loans In-House Barry Kublin's group has struck up a deal with a loan processor... 401kWire.com - Wednesday, September 28, 2011
Gundlach Woos RIAs and Reporters DoubleLine holds a luncheon event in midtown Manhattan... MutualFundWire.com - Wednesday, September 28, 2011
Compass EMP Hires and May Acquire The Volunteer State mutual fund firm expands its team and ponders acquisitions, thanks to some new capital... MutualFundWire.com - Wednesday, September 28, 2011
MassMutual Unveils its Small Plans Markets Chief She is a MassMutual vet... 401kWire.com - Wednesday, September 28, 2011 - Reader Rating: 2.25
Pimco Names its Alts. Chief It's an internal hire... MutualFundWire.com - Wednesday, September 28, 2011
Diversified Adds Two More Healthcare Clients ... and close to $500M in AUM... 401kWire.com - Wednesday, September 28, 2011
Pacific Life Catches iPad Fever The popular Apple device has permeated the rank and file at Pacific Life... 401kWire.com - Wednesday, September 28, 2011 - Reader Rating: 3
Hartford's Funds May No Longer Be On the Block The insurer reportedly decides not to sell its mutual fund business to a private equity firm... MutualFundWire.com - Wednesday, September 28, 2011
Carlos Slim's Son Becomes a BlackRock Board Member The younger slim replaces Linda Robinson on the board... MutualFundWire.com - Wednesday, September 28, 2011
Johnson Emerges as Giants' Kingpin A new report says the Franklin chairman is now the biggest stakeholder of the former World Series champs... MutualFundWire.com - Wednesday, September 28, 2011
American Funds Takes a Backseat to Vanguard Two billion dollars now separate the mutual fund behemoths... MutualFundWire.com - Wednesday, September 28, 2011
An Ex-Rydex Exec Lands a New Gig The exec, who played a key role in the buildout of Rydex's alternative investment platform, has joined a Chicago firm... MutualFundWire.com - Tuesday, September 28, 2010
McKinsey to Providers: Stop Fighting Over the Mega-Market The consulting giant points its crystal ball at the future of the defined contribution business... 401kWire.com - Tuesday, September 28, 2010 - Reader Rating: 3
403b Sponsors are Changing and Consolidating Their RKers 403(b) plan sponsors are changing their vendors and their attitudes towards DC plan participants... 401kWire.com - Tuesday, September 28, 2010 - Reader Rating: 2.5
Kasina Ranks Fund Firms' Advisor Web Sites The New York City-based consulting firm reveals its top 10 list... MutualFundWire.com - Tuesday, September 28, 2010
Eagle Helps Reporters Look Ahead 10 Years The Florida-based asset manager gathers members of the media for an investment outlook update... MutualFundWire.com - Tuesday, September 28, 2010
Court Appoints a Massachusetts Firm as an Abandoned Plan's Fiduciary A defunct company's 401(k) plan is revitalized... 401kWire.com - Tuesday, September 28, 2010
Morningstar Nvests in a 401k Advice Distribution Partnership The Chicago-based fund ratings forges an alliance for its managed account offering... 401kWire.com - Tuesday, September 28, 2010
JPMorgan Lightens the Load The New York firm slashes the load on A share purchases of its Diversified Fund... MutualFundWire.com - Tuesday, September 28, 2010
TCW Loses a Sub-Advisory Mandate The Los Angeles-based firm will be replaced as sub-advisor to the Optimum Large Cap Value Fund next month... MutualFundWire.com - Tuesday, September 28, 2010
Davenport Cooks Up a Pair of Mutual Funds The two funds will join Davenport's Core Fund... MutualFundWire.com - Tuesday, September 28, 2010
RPAG Wins Over a $500M NRP Shop Updated \| The advisor is shifting to Financial Telesis as his broker-dealer... 401kWire.com - Tuesday, September 28, 2010 - Reader Rating: 1
Pac Life Ascends to the Bundled 401k Biz An insurer teams up with a micro plan provider to tackle small retirment plans... 401kWire.com - Tuesday, September 28, 2010 - Reader Rating: 1
Vanguard Tweaks its Target Dates The Valley Forge-based shop is making some changes the underlying holdings of its target date funds. .. MutualFundWire.com - Tuesday, September 28, 2010
Columbia Puts a Number on Fund Shareholder Savings Officials say mutual fund shareholders will see about $30 million of savings per year due to fee changes and fund mergers... MutualFundWire.com - Tuesday, September 28, 2010
WSJ Explores an Energy Fund An energy fund is outshining its peers in the aftermath of the BP disaster... MutualFundWire.com - Tuesday, September 28, 2010
Schroders is Hiring on the West Coast The New York-based investment manager is searching for a wholesaler to succeed Mike Kinney... MutualFundWire.com - Monday, September 28, 2009
Touchstone Preps to Launch 10 Funds The Cincinnati-based firm is in the final stages of bringing 10 mutual funds to the market... MutualFundWire.com - Monday, September 28, 2009
Not Surprisingly, Equities Lose Popularity in Retirement Plans A new study also finds that 401k enrollment increased in 2008... 401kWire.com - Monday, September 28, 2009
Columbia Names its New I-O Chief Updated \| After the departure of Yaqub Ahmed, the BofA-owned (for now) asset manager promotes one of its own into the top investment-only spot... 401kWire.com - Monday, September 28, 2009
U.S. Global Rolls Out New Web Site Updated homepage refocuses priorities to spotlight funds... MutualFundWire.com - Monday, September 28, 2009
Chiricotti to Advisors: Specialize, Partner, or Get Out of This Business The outspoken CFDD chief shares more of his thoughts with the industry, even as his annual conference looms... 401kWire.com - Monday, September 28, 2009 - Reader Rating: 3
Treasury Mulls Allowing 403b Participants to Turn Unused Vacation Pay into Deferrals Treasury says 401k rule could extend to 403b plans... 401kWire.com - Monday, September 28, 2009
Will the Aluminum Standard Power an ETF? Trade in your cans for cash -- aluminum is as good as gold.. MutualFundWire.com - Monday, September 28, 2009 - Reader Rating: 3
Xerox Suddenly Finds Itself in the 401k Recordkeeping Business UPDATED\| A group of mega-market plans is changing hands as part of a broader deal unveiled Monday morning... 401kWire.com - Monday, September 28, 2009 - Reader Rating: 2.5
At Three Boston Fund Firms, Analysts Wield Power Fund analysts in general don't hold as much power as portfolio managers. That's not the case at three Boston fund firms... MutualFundWire.com - Monday, September 28, 2009 - Reader Rating: 4
PowerShares Stashes ETFs Inside New Closed-End Funds Exchange-traded funds pop up in an interesting new spot... MutualFundWire.com - Monday, September 28, 2009
Vanguard Preps an iPhone App But do minute-by-minute updates mesh with buy and hold?.. MutualFundWire.com - Monday, September 28, 2009
Feds Push for a Quick Wachovia Sale The Federal Reserve and the Treasury Department on Sunday evening were reportedly pushing for the sale of Wachovia Corp. Citigroup and Wells Fargo were said to have gotten their first look at Wachovia's books Saturday morning... MutualFundWire.com - Sunday, September 28, 2008
NYT: Feds Press for a Swift Wachovia Sale The Federal Reserve and the Treasury Department on Sunday evening were reportedly pushing for the sale of Evergreen Investments' parent, Wachovia Corp. Citigroup and Wells Fargo were said to have gotten their first look at Wachovia's books Saturday morning... MutualFundWire.com - Sunday, September 28, 2008
NYT: Feds Push for a Quick Sale of Wachovia The Federal Reserve and the Treasury Department on Sunday night were reportedly pushing for the sale of Wachovia. Citigroup and Wells Fargo were said to have taken their first look at Wachovia's books Saturday morning... 401kWire.com - Sunday, September 28, 2008
New Name, New Location and New Funds: The Tale of a Denver RIA A Centennial State DC advisory firm re-brands and gets into the CIF game. .. 401kWire.com - Friday, September 28, 2007
Pennsylvania Puts Forth its Best Jobs This week we spotlight Philadelphia, Pittsburgh, and all the others in between... MutualFundWire.com - Friday, September 28, 2007 - Reader Rating: 3
Lone Star TPA Gets a Hand in Collective Funds Freshly-acquired TPA unveils some new DC investments managed by a Sunshine State manager. .. 401kWire.com - Friday, September 28, 2007
NYSE Taps Secret Service Vet For Security Post NYSE Euronext has chosen Thomas Sloan as the new vice president of International Security Operations... MutualFundWire.com - Friday, September 28, 2007
Interested in I-O? Try Cerulli's Four Ps The consulting firm gives some pointers to firms looking to sell their funds through others' DC platforms. .. 401kWire.com - Friday, September 28, 2007 - Reader Rating: 2.33
Securian Retirement Staff Aces Fiduciary Exams All 65 members of the Securian Retirement sales staff have passed their Accredited Investment Fiduciary exams... 401kWire.com - Friday, September 28, 2007
American Century's Ex-CEO Set to Roar on Morningstar's Board Bill Lyons, 51, the recently retired president and CEO of American Century, is set to join Morningstar's board of directors... MutualFundWire.com - Friday, September 28, 2007
A.G. Edwards Touts Benefits of Wachovia Sale to its Shareholders A.G Edwards is courting its shareholders ahead of an expected vote on its merger with Wachovia... MutualFundWire.com - Friday, September 28, 2007 - Reader Rating: 2.89
XShares Adds REIT Funds to its Menu XShares is getting closer to its goal of rolling out 45 new ETFs this year with a new family of funds... MutualFundWire.com - Friday, September 28, 2007
Cap Group Courts Toyko Capital Group has officially entered the Japan market with two new mutual funds... MutualFundWire.com - Friday, September 28, 2007
China: The Next Mutual Fund Frontier? Surprise! Chinese investors are interested in stock mutual funds too... MutualFundWire.com - Friday, September 28, 2007
22c-2 Compliance Date Extended As expected, the Securities and Exchange Commission is giving retirement plan recordkeepers and mutual fund firms extra time to comply with Rule 22c-2, originally scheduled to take effect on October 16, 2006... MutualFundWire.com - Thursday, September 28, 2006 - Reader Rating: 3
NCR KO's DB, Ups 401k NCR Corp. is freezing its defined benefit plan in favor of its $1.75 billion 401(k) program administered by Fidelity's FIRSCo arm... 401kWire.com - Thursday, September 28, 2006
ETFs Could See Streamlined Approval Process The SEC is eyeing a more friendly regime for exchange-traded funds, according to a published report. In the meantime, ETF advisors may want to look to Europe for opportunities in active management, capital protection and basic commidities such as aluminum and wheat, if they accept a thesis in the Wall Street Journal. The paper points out that looser regulations are helping make Europe the trial ground for new ETF concepts. Some of those concepts, like leveraged funds and oil and gold funds, have made the leap to Wall Street... MutualFundWire.com - Thursday, September 28, 2006
NFP Makes a Second 401k Buy The NYSE-listed network of invesment advisers has purchased its rival, leaving only one other major player in the 401(k) distribution space... 401kWire.com - Thursday, September 28, 2006 - Reader Rating: 1
SEC Exiles Ex-Cornerstone President The SEC has sanctioned a former top executive at Cornerstone Equity Advisors this week for his participation in a acheme to defraud the Cornerstone Funds. According to the SEC, Cornerstone President James A. DeMatteo and an unnamed colleague submitted fraudulent bills that caused Cornerstone to misappropriate $126,741 from the its mutual funds. The 46-year-old DeMatteo is a resident of Staten Island, New York. .. MutualFundWire.com - Thursday, September 28, 2006 - Reader Rating: 5
22c-2 Compliance Date Extended The Securities and Exchange Commission has given in to numerous requests to extend the compliance date for Rule 22c-2... 401kWire.com - Thursday, September 28, 2006 - Reader Rating: 4
SDBA Provider Hires Regional Sales Directors The Nebraska-based broker-dealer has tapped outsiders to fill two regional sales director openings... 401kWire.com - Thursday, September 28, 2006 - Reader Rating: 5
Block Trading Venture Will Get CEO Soon A block trading system just formed by six Wall Street heavy hitters will get its first CEO soon... MutualFundWire.com - Thursday, September 28, 2006
Ex-LPL Compliance Pro Jacko Signs With Law Firm An "explosion of work" in the brokerage sector leads a San Diego and New York-based firm to tap an LPL compliance veteran for help. .. MutualFundWire.com - Thursday, September 28, 2006 - Reader Rating: 1
Before Fining, NASD Says to Consider Firm Size, Cash The industry regulator decides that sometimes fines below the minimum are ok. .. MutualFundWire.com - Thursday, September 28, 2006
Goldman Gets OK to Trade in Mother Russia The i-banking titan's Russian subsidiary gets a three-year license to trade. .. MutualFundWire.com - Thursday, September 28, 2006
SSgA Taps Barclays Vet to Boost ETF Sales The original ETF firm continues to make personnel moves as it seeks to restore its leadership position in the niche... MutualFundWire.com - Wednesday, September 28, 2005
Fido Matches Latest Schwab Fee Cuts Fund firms may be find themselves caught in the crossfire in no man's land in if the online brokerage giants continue to escalate their price war... MutualFundWire.com - Wednesday, September 28, 2005
Franklin Open to M&A in Canada Franklin sees opportunities north of the U.S. border. Fido's fund chief expects more foreign firms to explore the market... MutualFundWire.com - Wednesday, September 28, 2005
Home Builder Hires Pru After Adding Plans A Pennsylvania plan sponsor decided that it was time for a new 401k provider after going on an acquisition spree... 401kWire.com - Wednesday, September 28, 2005
CitiStreet Touts its Services The plan administrator is undertaking a new campaign to build awareness of all the services it offers to participants, including retirement planning tools... 401kWire.com - Wednesday, September 28, 2005 - Reader Rating: 2
Congress Expects Pension Reform Bill by Halloween Don't be spooked. A DB plan overhaul is inching its way to completion. How to treat troubled airlines remains a sticking point... 401kWire.com - Wednesday, September 28, 2005
Are You Missing The Big 401k Picture? Taught by consultants that the next big thing in 401ks is rolling out of them, no firms are addressing the still maturing generation-K... 401kWire.com - Wednesday, September 28, 2005 - Reader Rating: 3
Are You Missing The Big 401k Picture? Taught by consultants that the next big thing in 401ks is rolling out of them, no firms are addressing the still maturing generation-K... MutualFundWire.com - Wednesday, September 28, 2005
Vanguard Extends a Helping Hand to Retirees The fund firm is serving up a set of tools on its Web site that will help investors near retirement with their planning. The services are the first in what is expected to be a growing suite offered by Vanguard... 401kWire.com - Wednesday, September 28, 2005
Vanguard Extends a Helping Hand to Retirees The fund firm is serving up a set of tools on its Web site that will help investors near retirement with their planning. The services are the first in what is expected to be a growing suite offered by Vanguard... MutualFundWire.com - Wednesday, September 28, 2005
Senators Scrutinize 529s Senator Peter Fitzgerald will lead a hearing of the subcommittee of the Senate Committee on Governmental Affairs on 529 plans. The hearing will be held on Thursday morning... MutualFundWire.com - Tuesday, September 28, 2004
Vanguard Unleashes More VIPERs Investors can trade four more exchange-traded share classes on the Amex on Wednesday morning... MutualFundWire.com - Tuesday, September 28, 2004
Two at Banc One Defect to Federated William Dierker and Stephen Crane, both formerly at Banc One Investment Advisers, have joined Federated Investors as senior vice president and senior investment analyst, respectively... MutualFundWire.com - Tuesday, September 28, 2004
Yet Another Tool for CCOs The Bank of New York is the latest service provider to offer another tool for chief compliance officers. BoNY�s CCOaccess can be used for both reference and document management... MutualFundWire.com - Tuesday, September 28, 2004
Another Energy Co. Slapped with 401k Suit The Enron shoes keep falling. This time it is Aquila that is dragged into court. Participants claim $150 million in losses... 401kWire.com - Tuesday, September 28, 2004
Indy Directors Group Now Online The Independent Directors Council have a new website... MutualFundWire.com - Tuesday, September 28, 2004
Standard Shoulders MAP Burden In an effort to offer something unique in the 401(k) provider marketplace, the Standard Insurance Company has introduced a new service to transfer the administrative burden of retirement plan loan and distribution requests from plan sponsors... 401kWire.com - Tuesday, September 28, 2004
Who Uses SDBAs? Schwab provides some answers to questions on whether younger and older participants use brokerage accounts differently... 401kWire.com - Tuesday, September 28, 2004 - Reader Rating: 5
Is B for Bad? Citi Execs Decide For Themselves Citigroup keeps selling B shares, but removes the decision from the financial consultant... MutualFundWire.com - Tuesday, September 28, 2004 - Reader Rating: 5
Great-West Sales Exec Makes Move The firm relocates its wholesaler for Utah, Colorado and Kansas and confirms a recent hire. .. 401kWire.com - Tuesday, September 28, 2004 - Reader Rating: 1
Timing Plagues Canada Funds: IFIC/MFDA Chief Resigns The fund scandals are hitting firms north of the border as well. Monday, in fact, the head of the MFDA, a Canadian fund self-regulatory organization, resigned over allegations of market-timing violations in Canadian fund firms. .. MutualFundWire.com - Tuesday, September 28, 2004
Regulators See Penalty Box for B-Ds Working The NASD has apparantly found a penalty that it likes. Speaking before the Securities Industry Association (SIA) Sales and Marketing Conference Tuesday in New York City, Elisse Walter warned tht the self-regulatory organization will continue to bar broker-dealers who have systemic problems from opening new mutual fund accounts for clients. .. MutualFundWire.com - Tuesday, September 28, 2004
Regulators See Penalty Box for B-Ds Working The NASD has apparantly found a penalty that it likes. Speaking before the Securities Industry Association (SIA) Sales and Marketing Conference Tuesday in New York City, Elisse Walter warned tht the self-regulatory organization will continue to bar broker-dealers who have systemic problems from opening new mutual fund accounts for clients. .. MutualFundWire.com - Tuesday, September 28, 2004
Wachovia Argues Against SEC Enforcement Action The North Carolina-based bank has responded to the SEC by arguing why it Evergreen unit should not be subject to any enforcement action. The case is another involving a broker making too many trades in a fund. .. MutualFundWire.com - Tuesday, September 28, 2004
Legg Mason Elects Two Directors Legg Mason Funds have found a replacement for a departing director and added one. Ruby Hearn, senior vice president of the Robert Wood Johnson Foundation, and Robert Tarola, senior vice president and chief financial officer of W.R. Grace & Co., joined the board... MutualFundWire.com - Tuesday, September 28, 2004
NAGDCA Re-elects Segal Exec Government defined contribution administrators met in Salt Lake City for its annual conference; members elected a new executive board... 401kWire.com - Tuesday, September 28, 2004
Boston SEC Office Gets Aggressive SEC staffers are drilling for scandal in Boston, the Boston Herald reports. It says that the Boston SEC office is conducting a mini-sweep of fund firms based in Boston to see if fund executives have been improperly profiting by trading in shares of their products. The article relies mostly on unnamed sources. .. MutualFundWire.com - Tuesday, September 28, 2004
JP Morgan Hedges its Bets with Highbridge Pickup J.P. Morgan turned some heads Monday by buying a majority stake in hedge fund Highbridge Capital Management. While most reports of the deal note that it likely signals a move by banks to bring hedge funds to a broader audience, Andy Kessler provides a different take on the deal in the WSJ... MutualFundWire.com - Tuesday, September 28, 2004
Citi Turns to Sallie Sallie L. Krawcheck appears to be making good at Citigroup. The former equity analyst from Sanford Bernstein joined Citi to head its Smith Barney division after the financial conglomerate got caught in the conflicted research scandals uncovered by NYAG Eliot Spitzer. Now she is taking a promotion. .. MutualFundWire.com - Tuesday, September 28, 2004
TCW Drafts New Play-Calling Chair We hope those working at TCW Galileo Funds are Rams fans. According to the L.A. Times the Los Angeles-based fund group has tapped Pat Haden as the new independent chair for its fund boards, replacing the group's non-independent chair. .. MutualFundWire.com - Tuesday, September 28, 2004
Fund Fees Come Under Further Stress How badly did the September 11 attack hurt fund industry fees? New analysis from a bond rater provides some clues... MutualFundWire.com - Friday, September 28, 2001 - Reader Rating: 3
Principal Lands Dwight Exec The insurer has a new head for its $18 billion stable value business. .. 401kWire.com - Friday, September 28, 2001 - Reader Rating: 3
401k Web Advisor Layoffs Fool Lays Off ... American Century Upgrades IPro ... NICSA Meetings Are On... 401kWire.com - Friday, September 28, 2001 - Reader Rating: 3
401k Web Advisor Layoffs Fool Lays Off ... American Century Upgrades IPro ... NICSA Meetings Are On... MutualFundWire.com - Friday, September 28, 2001 - Reader Rating: 3
INVESCO Not Leisurely on VA Push The fund firm is emphasizing a sector fund outside of technology as is makes a push for the VA business... MutualFundWire.com - Friday, September 28, 2001 - Reader Rating: 3
Delaware Shifts Gears to Value The firm is offering a new fund less than six months after trimming a dozen. .. MutualFundWire.com - Friday, September 28, 2001 - Reader Rating: 3
September 28, 2000 OppFunds Invests in Folio[fn] mimick ... Schwab Overlooked Charging Frequent Fund ... Fund Flows on Pace for $200 billion Year ... Janus' String May End at 37 ... Pension Bill To Change Distribution Rules... MutualFundWire.com - Thursday, September 28, 2000 - Reader Rating: 3
September 28, 2000 OppFunds Invests in Folio[fn] mimick ... Schwab Overlooked Charging Frequent Fund ... Fund Flows on Pace for $200 billion Year ... Janus' String May End at 37 ... Pension Bill To Change Distribution Rules... 401kWire.com - Thursday, September 28, 2000 - Reader Rating: 3
Where Advice Differs Every advice vendor is offering a word to the wise but what makes each one different? The advice providers all made their sales pitches at today's Investment Advice In Defined Contribution Plans conference in New York... 401kWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Dreyfus Looking To Replace Departed President Dreyfus Retirement Services is conducting a search to replace its recently departed president, with another exec filling his shoes for now... MutualFundWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Texas Becomes More Flexible Texas employees are saddling a whole new array of product options in their retirement plans... 401kWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Chase To Buy H&Q In a stock deal, Chase has agreed to acquire the San Francisco investment bank in an attempt to bolster its stake in the "new economy.".. MutualFundWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Fortune 100 Company Signs With Financial Engines For the first time, employees at a Fortune 100 company will be getting investment advice for their 401(k) plan through the Internet... MutualFundWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Fortune 100 Company Signs With Engines For the first time, employees at a Fortune 100 company will be getting investment advice for their 401(k) plan through the Internet... 401kWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Odd Lots, September 28, 1999 The Big Three widen their lead ... Actively managed = marketing scam for suckers?... MutualFundWire.com - Tuesday, September 28, 1999 - Reader Rating: 3
Power Company Changes Providers on Thursday Piketon, Ohio-headquartered Ohio Valley Electric Corporation has chosen Fidelity to be the bundled provider for its 401(k) plan, John Brodt, treasurer, told the 401kWire. The transition will be completed on Thursday. The plan has over 700 participants and approximately $36 million in assets... 401kWire.com - Monday, September 28, 1998 - Reader Rating: 3
Nationwide to Acquire Pilgrim Baxter from UAM Less than two weeks after it shuttered its Retirement Plan Services unit, Boston-based United Asset Management (UAM) has agreed to sell Pilgrim Baxter & Associates to Nationwide Financial Services, Inc. for about $600 million, according to a report in the Wall Street Journal... 401kWire.com - Monday, September 28, 1998 - Reader Rating: 3

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