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Charles Schwab Investment Management [view profile ]
211 Main Street  San Francisco  CA  94105  ph: 800-648-5300 

http://www.schwab.com  -  SEC Filings
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News Stories Archives - Since 1998
Is Empower No Longer the Lead Wells Fargo IRT Bidder?
Another bundled provider is reportedly close to paying upwards of $1 billion for the bank's recordkeeping biz...
401kWire.com - Monday, March 18, 2019
Week In Preview, March 18-24
This week the team at ICMA-RC is hosting an event...
401kWire.com - Monday, March 18, 2019
Week In Preview, March 18-24
This week the Expect Miracles and ICI teams are both hosting events...
MutualFundWire.com - Monday, March 18, 2019
Post-RidgeWorth, a Manager Tests the Waters Further North
A sales executive moves on from the Peach State mutual fund shop...
MutualFundWire.com - Friday, March 18, 2016 Views
A Cali KPA Shop Digitizes Its RFP Process
InHub has partnered with a West coast retirement plan consulting firm to make RFPs digital...
401kWire.com - Friday, March 18, 2016 - Reader Rating: 4
A Top March Madness Contender Retains Fidelity
Fidelity will continue to coach this nearly $6 billion 403(b) plan...
401kWire.com - Friday, March 18, 2016 - Reader Rating: 3
DoubleLine and AB Crush It
Meanwhile, Vanguard continues to utterly dominate fund flows...
MutualFundWire.com - Friday, March 18, 2016 Views - Reader Rating: 5
Gallagher Seeks a MidWest KPA
Gallagher is looking to fill a new position in its Michigan office...
401kWire.com - Friday, March 18, 2016
Is Auto-Enrollment Useful for Everyone?
A Pennsylvania TPA issues a white paper analyzing auto-enrollment in retirement plans...
401kWire.com - Friday, March 18, 2016
Nobody Puts TD Ameritrade In an Advertising Corner
The online brokerage giant and RIA custodian beats part of a Hollywood lawsuit...
MutualFundWire.com - Friday, March 18, 2016 Views
Larry Goldbrum Returns
The former Spark bigwig joins a trust company in the Southeast...
401kWire.com - Wednesday, March 18, 2015 - Reader Rating: 5
SSgA's Axsater Welcomes a MetLife Vet
A MetLife alum recently joined State Street Global Advisors!..
401kWire.com - Wednesday, March 18, 2015
Texas Client Re-Commits to Pru
City of El Paso resigns with Prudential for its defined contribution plan. ..
401kWire.com - Wednesday, March 18, 2015
What's On the Radar of the SEC's Top Cop?
The regulatory agency's enforcement division chief reveals what his team is digging into when it comes to registered investment companies and those who serve those mutual funds...
MutualFundWire.com - Wednesday, March 18, 2015 Views
This Is What Makes SEC Examiners Pull Their Hair Out
The SEC's national examination program director speaks on a panel at the ICI's 2015 MFIM conference in SoCal. He warns fundsters about what is likely to rub his examiners the wrong way...
MutualFundWire.com - Wednesday, March 18, 2015 Views
Another Pennsylvania KPA Shop Aligns With Pensionmark
Troy Hammond and his team recently welcomed a Hollidaysburg, Pennsylvania shop to their network...
401kWire.com - Wednesday, March 18, 2015 - Reader Rating: 5
A Computer Software Company Launches A New Publication for KPAs and Plan Sponsors
...designed for advisors and sponsors of 401(k) and 403(b) plans to utilize practical guidance in an easy-to-read, narrative style...
401kWire.com - Wednesday, March 18, 2015
Guardian Announces Summit For KPAs and TPAs
The insurer's retirement plan arm is hosting a Summit to provide answers for plan participant satisfaction, plan costs & employee investment knowledge and more....
401kWire.com - Wednesday, March 18, 2015
Quicker-to-Market, Active, Transparent ETFs: the NYSE Says They're Close
An exchange official reportedly says the SEC is close to putting the proposal out for public comment...
MutualFundWire.com - Wednesday, March 18, 2015 Views
Tschider Hires a Top ExpertPlan Vet
Verisight sheds some light on a new SVP hire...
401kWire.com - Tuesday, March 18, 2014 - Reader Rating: 4
Great-West Lands a $3B Plan
Great-West wins recordkeeping for a nonprofit that had worked with Charles Schwab...
401kWire.com - Tuesday, March 18, 2014 - Reader Rating: 5
A CMG Sales Alum Joins AdvisorShares
New executive vice president of advisor services previously handled institutional sales for CMG, and is a nine-year veteran of Rydex...
MutualFundWire.com - Tuesday, March 18, 2014 Views
The Duck Stops With MassMutual, for a $40MM 401k
A nonprofit in Memphis selected MassMutual as its new 401k RKer. ..
401kWire.com - Tuesday, March 18, 2014 - Reader Rating: 4
American Century's Founder Passes Away
Jim Stowers, founder of American Century and investment management luminary, died yesterday at the age of 90. ..
MutualFundWire.com - Tuesday, March 18, 2014 Views
Participants Show Confidence Boost, While Non-Participants Stagnate
...according to EBRI's latest research...
401kWire.com - Tuesday, March 18, 2014 - Reader Rating: 4
The Utilities Industry Lights Up a New 401k List
...compiled by Judy Diamond Associates, which looked at 401k trends and performance by industry group...
401kWire.com - Tuesday, March 18, 2014
Not Every ETF is Super Cheap
A pricey dividend ETF spurs debate on whether it's worth the extra dough...
MutualFundWire.com - Tuesday, March 18, 2014 Views
SEC Bigwig Tells Fundsters Not to Worry
As the SEC investment management chief outlines his data-gathering initiatives, he tells fundsters that the primary goal is information...
MutualFundWire.com - Monday, March 18, 2013 Views
Sequester Crisis Leads to Champ Three-Peat
Budget battles cut travel plans for two SEC staffers slated to speak at the ICI's Investment Management conference...
MutualFundWire.com - Monday, March 18, 2013 Views
Capital Group Drops a Brand
American Funds will now be one of two brands used by the company...
MutualFundWire.com - Monday, March 18, 2013 Views
Champ Clears Red Tape Out of ETFs' Path
The SEC IM chief is pushing for rule that will allow for more products beyond "plain middle."..
MutualFundWire.com - Monday, March 18, 2013 Views
For Sale: Fido's Old HQ
The Boston Behemoth puts four properties on the market...
MutualFundWire.com - Monday, March 18, 2013 Views
Haase Expects to Double Paychex' New Sales Force
A top exec offers a glimpse of how the payroll giant and micro-market RKer is doing with its upmarket, advisor-centric push...
401kWire.com - Monday, March 18, 2013 - Reader Rating: 3
FRA Hires a Schlichter Alum
The ERISA attorney is joining the NC company to lead fiduciary oversight...
401kWire.com - Monday, March 18, 2013
Pioneer's Hiring in the Big Apple
The exec will sell mutual funds through wealth management channel...
MutualFundWire.com - Monday, March 18, 2013 Views
Gen Y Lacks a Basic Awareness of You
Cogent Research says fundsters need to dramatically alter how they engage the next generation of investors...
MutualFundWire.com - Monday, March 18, 2013 Views - Reader Rating: 5
Champ Wants SEC to "Go Where the Puck Will Be"
The regulator's investment management division chief speaks of initiatives to improve "eyes and ears."..
MutualFundWire.com - Monday, March 18, 2013 Views
M* Wins Kudos For Liquidity Style Research
This is the research shop's tenth award from the FAJ...
MutualFundWire.com - Monday, March 18, 2013 Views
Neuberger's Kilgallen Launches New Shares for Retirement Plan Advisors
The DC I-O unveils its latest offering for the intermediary-sold biz...
401kWire.com - Monday, March 18, 2013
Borzi's New Boss Will Be ...
Obama picks a Justice Department alum to take over the DoL .....
401kWire.com - Monday, March 18, 2013
DC I-O Equity Assets Near $470 Billion
Two-thirds of equity assets are managed by DC I-Os' PMs...
401kWire.com - Monday, March 18, 2013
WSJ Highlights Mutual Funds for Cautious Investors
Click here to find out who got name-checked...
MutualFundWire.com - Monday, March 18, 2013 Views
Vanguard Worries That the ETF Well May Be Poisoned
Three ETF bigwigs and an analyst chat with Barron's...
MutualFundWire.com - Monday, March 18, 2013 Views
Two Pubs Sit Down With Dimensional's Booth
It was a big week for the DFA honcho...
MutualFundWire.com - Monday, March 18, 2013 Views
Colorado AG Accuses an Ex-Broker of Mutual Fund Theft
The accused is being held on bond...
MutualFundWire.com - Monday, March 18, 2013 Views
Reynolds Rolls With The New
Putnam is continuing to create new funds in an attempt to attract investors...
MutualFundWire.com - Monday, March 18, 2013 Views
A Great-West Client Wants to 'Test the Waters'
A long-time Great-West client has issued an RFP for its government plan...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 4
The Societal Purpose of 401ks is 'Not a Focus' for Sponsors
Seen and Heard: Industry insiders gathered last week in Sin City at the third annual 401kWire Influencers' Summit, themed 'See 2020'...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 2.5
Baird Reveals the Truth About Top-Performing Money Managers
So what's the truth about these managers anyway?..
MutualFundWire.com - Friday, March 18, 2011 Views
Dividend Growth Advisors Adds a PM
The South Carolina-based mutual fund firm brings an SMA-veteran to its team...
MutualFundWire.com - Friday, March 18, 2011 Views
Mesirow Names a New CEO
Mesirow elevates a successor to its CEO post...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 2
Buck Consultants Welcomes Back a Consulting Vet
A Buck Consultant vet is going home...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 1
Goldman and Pixar Alums Will Help Oversee Dodge and Cox
The asset manager adds two new independent directors to its mutual funds' board...
MutualFundWire.com - Friday, March 18, 2011 Views
Consultants Teach Providers About Satisfaction, Sales Effectiveness
A Massachusetts research firm offers two webinars to defined contribution industry insiders...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 1.5
A Pru Exec Joins Fidelity's DC I-O Team
Derek Wallen's unit just added another DC I-O sales executive...
401kWire.com - Friday, March 18, 2011 - Reader Rating: 3
Natixis Drops BlackRock as a Subadvisor
Natixis's board is making a few changes to its US Diversified fund...
MutualFundWire.com - Friday, March 18, 2011 Views
BlackRock Preps Passive Target-Date Funds
The target-date pruveyor is launching another series of funds...
MutualFundWire.com - Friday, March 18, 2011 Views
Will Massachusetts Offer Fund Firms More Carrots, or Less?
A top Bay State elected official says he's open to different options in responding to Fidelity's latest move...
MutualFundWire.com - Friday, March 18, 2011 Views
The WSJ Uncovers a 'Democratic' Hedge-Like Mutual Fund
A diversified alternative mutual fund gets some ink from the WSJ...
MutualFundWire.com - Friday, March 18, 2011 Views
Gabelli Scion, Alpert Score a Partial Win in their Battle with the SEC
A judge with the US District Court for the Southern District of New York on Wednesday dismissed most of the claims in the case the SEC had filed against Marc Gabelli and Bruce Alpert...
MutualFundWire.com - Thursday, March 18, 2010 Views
Fidelity's DC Client Service Chief Joins the Advisor Unit
A Fido direct veteran takes over the Western region for the advisor-sold 401k product. Yet who will lead client service management?..
401kWire.com - Thursday, March 18, 2010
Principal Reorg is Complete
Principal Funds has finished reorganizing its sales team...
MutualFundWire.com - Thursday, March 18, 2010 Views
Free at Last: FINRA Liberates Advisor Communications
It came down to a question of storage.....
MutualFundWire.com - Thursday, March 18, 2010 Views - Reader Rating: 5
Pernoll Eyes the Lone Star State
The Southern California-based DC-focused advisor looks to expand into a new market...
401kWire.com - Thursday, March 18, 2010 - Reader Rating: 2.5
The Standard Appoints Four to its Sales Team
Coming on board the company's sales team is a group of new pension consultants..
401kWire.com - Thursday, March 18, 2010 - Reader Rating: 2
Top 40 Advisor: Kendall Storch
This Boston-based NRP member lands in the top 40 DC advisors of 2009 as one of ten finalists in the mid-market...
401kWire.com - Thursday, March 18, 2010 - Reader Rating: 3.5
Target-Date Collective Funds are Sneaking Up
A research firm argues that developers are slow to embrace a potentially promising product...
401kWire.com - Thursday, March 18, 2010
Tobacco Industry Supplier Faces a Stock-Drop Suit
Law firm Brodsky & Smith may file suit against the paper supplier...
401kWire.com - Thursday, March 18, 2010
Russell Hunts for a New CFO
The Tacoma-based firm is looking for a replacement for Frank Ryan, who is leaving in June...
MutualFundWire.com - Thursday, March 18, 2010 Views
Matrix's ETF Solution Arrives, in 3D
Updated | After several months of beta-testing, the trading and trust specialists officially bring their exchange-traded fund support to market...
401kWire.com - Thursday, March 18, 2010 - Reader Rating: 5
U.S. Bancorp Finishes a $150 Billion Transition
The fund outsourcing company has moved more than 100 fund families to a unique new accounting system..
MutualFundWire.com - Thursday, March 18, 2010 Views - Reader Rating: 3
The Principal Starts Rebuilding
The company partners with Time Warner for a new marketing campaign..
MutualFundWire.com - Thursday, March 18, 2010 Views - Reader Rating: 4
The Journal is Not Impressed by a Year-Long Fund Run
The flow of assets is more important than duration of inflows, according to ICI..
MutualFundWire.com - Thursday, March 18, 2010 Views
Merrill Moves On
The head of enforcement for Finra is reportedly headed for the door...
MutualFundWire.com - Thursday, March 18, 2010 Views
OCIE's New Head Outlines His Vision
Nearly two months after taking the reins at the SEC's Office of Compliance and Examinations, Carlo di Florio talks to fundsters about his plans...
MutualFundWire.com - Thursday, March 18, 2010 Views
ExpertPlan Beefs Up its Support for Recordkeeping TPAs
A small market provider unveils a new service for third party administrators that splits recordkeeping tasks...
401kWire.com - Wednesday, March 18, 2009 - Reader Rating: 3
And the First Target Date Stamp of Approval Goes To ...
DALBAR validates a set of age-based asset allocation funds...
401kWire.com - Wednesday, March 18, 2009 - Reader Rating: 4
Amato Joins Neuberger Funds' Board
Neuberger Berman's top executive has joined the boards of the Neuberger open-end and closed-end funds...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Class Action Deja Vu Targets a Different OppFunds Offering
A familiar law firm goes after the Manhattan fund firm again, but this time Champion Income is not involved...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Wells Fargo Taps a Leader for its Combined Sales Force
Wells Fargo is integrating the two legacy sales teams under the leadership of a Wells veteran...
401kWire.com - Wednesday, March 18, 2009 - Reader Rating: 5
Fidelity Casts its Net for a Money Fund Wholesaler
The Boston Behemoth has kicked off a search for a money market fund wholesaler...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Integrity Swings to a Q4 Loss
The Minot, North Dakota-based firm, which is leaving the mutual fund business, posted a net loss of $4.2 million in the fourth quarter...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Federated Seeks to Set the Record Straight on Money Funds
The Pittsburgh investment manager created a new section on money market funds on its Web site and released a white paper...
MutualFundWire.com - Wednesday, March 18, 2009 Views
An Insurer Cuts DC Jobs While Consolidating Administration
A retirement plan provider moves much of its operations while eliminating some jobs...
401kWire.com - Wednesday, March 18, 2009
403bs Feel a Little Less Pain as DC Gains Market Share
A new report sees the DB-DC shift continuing through the market downturn...
401kWire.com - Wednesday, March 18, 2009
A California RIA Adds Two Midwestern Branches
The retirement-focused firm now boasts 10 branches across the country...
401kWire.com - Wednesday, March 18, 2009
An Alternative Energy Fund Disappears
It looks like one niche fund has slipped away entirely...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Pioneer Plans Fund Mergers
The Boston firm plans to reorganize three of its funds into three others...
MutualFundWire.com - Wednesday, March 18, 2009 Views
ICI Pushes Changes in Money Funds
The ICI is recommending a host of changes, including requiring money funds to hold a cash balance of 5 percent to 20 percent...
MutualFundWire.com - Wednesday, March 18, 2009 Views
Deutsche is Slapped with Class Action Suit over the Sale of Auction Rate Securities
A San Francisco law firm has brought a class action suit against Deutsche Bank and its b-d subsidiary over the sale of auction rate securities...
MutualFundWire.com - Tuesday, March 18, 2008 - Reader Rating: 2.83
New DST Solution Aims to Speed Up Account Establishment Process
DST Systems has unveiled a new Web interface to help broker-dealers establish direct-to-fund accounts electronically...
MutualFundWire.com - Tuesday, March 18, 2008 - Reader Rating: 3
Pru Subsidiary Taps Internal Sub-Advisor For New Long/Short Fund
JennisonDryden is the latest fund firm to get in on the long/short action with a new fund...
MutualFundWire.com - Tuesday, March 18, 2008 Views
Class Action Lawyers Circle Bear Stearns
Class action attorneys are not sitting still with the news coming out of Bear Stearns...
401kWire.com - Tuesday, March 18, 2008
A New CIF Alliance Aims to Retake the Small-Mid Market
Two firms from opposite coasts join forces with their DC collective fund and admin offerings for banks. ..
401kWire.com - Tuesday, March 18, 2008 - Reader Rating: 2
ICI Spotlights Retirement Income at Phoenix Confab
The mutual fund trade group devoted a session to retirement income at its Phoenix conference...
401kWire.com - Tuesday, March 18, 2008
First Active ETF Launch is Delayed
The launch of the Bear Stearns Current Yield Fund will not take place today...
MutualFundWire.com - Tuesday, March 18, 2008 Views
ETFs Decline Amid Bear News
In the Tuesday edition of the WSJ Fund Track column, John Spence took a look at how the fresh credit fears brought about by the Bear Stearns news affected ETFs...
MutualFundWire.com - Tuesday, March 18, 2008 Views
Short Form Prospectus Gets an ICI Once Over
The coming of the new short form prospectus took center stage at the ICI's annual Mutual Funds and Investment Management Conference...
MutualFundWire.com - Tuesday, March 18, 2008 Views
Janus COO to Depart
Andy Iseman will leave the Denver fund firm next month...
MutualFundWire.com - Tuesday, March 18, 2008 Views - Reader Rating: 2
Conseco Settles Co Stock Suit
The 401(k) investment option will cost Conseco $10 million. Insurer fights claim...
401kWire.com - Friday, March 18, 2005
GM Stock Suit May Break New Ground
It is increasingly looking like no plan sponsor will escape the liability of offering company stock. This time the target is GM...
401kWire.com - Friday, March 18, 2005 - Reader Rating: 5
Portman to Leave Congress
The retirement industry lost one of its leaders in Congress Thursday when President George Bush nominated Rep. Rob Portman (R-Ohio) for a Federal post...
401kWire.com - Friday, March 18, 2005
Canadian Regulators Call Off Fund Probes
The Canadian mutual funds that allowed improper trading in the products have been caught and punished claims the Ontario Securities Commission Thursday. As a result, the OCS said it is ending a 17-month investigation that uncovered market timing trades in funds covering 90 percent of the Canadian industry...
MutualFundWire.com - Friday, March 18, 2005 Views
Morningstar Says SEC Seeks Info on its Consulting
Federal regulators appear to be following up on a door opened by Eliot Spitzer last year...
401kWire.com - Friday, March 18, 2005 - Reader Rating: 2
Franklin Chairman Takes Some Chips Off the Table
Charles B. Johnson, chairman of Franklin Resources, has sold 100,000 shares of company stock, worth approximately $7.2 million, reports MarketWatch...
MutualFundWire.com - Friday, March 18, 2005 Views
Roche & Riepe See Bigger Bonuses
T. Rowe Price must have had a good year in 2004. George Roche and James Riepe each earned bonuses of $2.5 million from the Baltimore-based fund firm for their work in 2004. In each case the 2004 bonus marks a $500,000 increase over 2003...
MutualFundWire.com - Friday, March 18, 2005 Views - Reader Rating: 2.33
Guardian Park Ave Manager Calls it Quits
Richard Goldman, portfolio manager for the Guardian Park Avenue Fund, has resigned. He left the fund on March 15, according to the company. Chief Investment Officer Tom Sorell and Matthew Ziehl will take over for Goldman on an interim basis...
MutualFundWire.com - Friday, March 18, 2005 Views
Hennessy Snaps up $340 MM in Fund Assets
Novato, California-based Hennessy Funds is continuing its acquisition spree. The fund firm announced this week that it would acquire the Henlopen Fund, with approximately $340 million in assets under management. The fund is managed by Kennett Square, Pennsylvania-based Landis Associates LLC...
MutualFundWire.com - Friday, March 18, 2005 Views
Pimco Stock Funds to Get Rebranded
After a decade of name sharing, the Pimco bond funds will soon be alone again. Germany's Allianz AG is taking the Pimco name off the 27 equity funds run by Pacific Investment Management Co. which it purchased in 2000...
MutualFundWire.com - Friday, March 18, 2005 Views - Reader Rating: 4
American Funds Cuts Fees
Not to be excluded from recent price cuts by other major fund firms, American Funds said on Thursday that it is further cut its advisory fees on all 28 of its mutual funds, reports the LA Times. The fund family cut its fees by five percent last year...
MutualFundWire.com - Friday, March 18, 2005 Views - Reader Rating: 2.33
IRA Vendor Eyes Terminated Plan Opp
Whether IRA providers can profit off of automatic low-balance rollovers remains a mystery, but what about another type of automatic rollover?..
401kWire.com - Friday, March 18, 2005 - Reader Rating: 4
Off-the-Shelf, but with Choices
An education provider launches a new off-the-shelf campaign product, and has other products in the works...
401kWire.com - Friday, March 18, 2005
Lipper: Trading Ratios Suggest More Firms Allowed Timers
A look at the numbers suggest that another two score funds may have allowed improper trading, says Lipper exec...
MutualFundWire.com - Thursday, March 18, 2004 - Reader Rating: 4.5
Scottrade Adds Retirement Content
The deep-discount broker turns to a retirement outsourcer to flesh out the retirement section of its Web site...
401kWire.com - Thursday, March 18, 2004 - Reader Rating: 2.5
TIAA-CREF Still Looking after CIO Appointment
Martin Leibowitz, who retired retired to jump ship to Morgan Stanley last month, is replaced by an internal hire...
MutualFundWire.com - Thursday, March 18, 2004 Views
Participants Still Fail to Learn
A retirement survey reveals that fundamental misunderstanding of 401(k) plans persists...
401kWire.com - Thursday, March 18, 2004 - Reader Rating: 3.33
Newkirk Offers Help as SEC Advertising Deadline Looms
Fund companies and ASPs preparing for the March 31, 2004 deadline to comply with new SEC advertising rules get help...
401kWire.com - Thursday, March 18, 2004
UK Completes Initial Market Timing Probe
The problems it found were on an entirely different scale than what has been uncovered in the United States...
MutualFundWire.com - Thursday, March 18, 2004 Views - Reader Rating: 4
Spitzer Sees Fund Probes Winding Down
The end is in sight, says New York State Attorney General Eliot Spitzer. Says scandal enter third stage with BoA settlement...
MutualFundWire.com - Thursday, March 18, 2004 - Reader Rating: 5
Manulife Launches New 457 Sales Kit
The new kit is designed to help advisors better serve their clients...
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 2.75
Firms Fail to Maximize Relationships
Asset managers are missing opportunities by not integrating their sales efforts, says researcher...
MutualFundWire.com - Tuesday, March 18, 2003 Views - Reader Rating: 4
Lasser Ropes in $7 Million
Despite three years of bear markets Lasser is still worth more than Lee Majors (not adjusted for inflation of course)...
MutualFundWire.com - Tuesday, March 18, 2003 Views
Sauter Takes CIO Job at Vanguard
The star is still rising for indexed Gus Sauter. Bond pro MacKinnon retires...
MutualFundWire.com - Tuesday, March 18, 2003 Views
Templeton Marketing New 529
The firm has opened the doors on a new 529 after saying no to a second state...
MutualFundWire.com - Tuesday, March 18, 2003 Views
Vendor Reaps TPAs Via Key Allies
Pivotal partners help Ameritrade Corp. Services push its SDBA effort down market in the TPA space...
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 3.5
Amex Advisors Rolls Out New Tool
The new feature allows job changers and retiring workers to follow an integrated path to action...
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 2.5
Trade Groups Pen Letter to Treasury
ASPA, PSCA, SBCA and SHRM band together to get their views heard in Washington...
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 4
Emplanet Assets Sold At Auction
The sealed envelopes are open ... and the winner is .....
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 4
MTA Selects New Provider by Consensus
The metro transport authority aims to convert its 401(k) and 457 plans this summer...
401kWire.com - Tuesday, March 18, 2003 - Reader Rating: 4
Montgomery Adds DC Sales Chief
The firm lands an experienced hand as it targets investment-only clients...
401kWire.com - Monday, March 18, 2002 - Reader Rating: 3
Evergreen Promotes from Within
There is a new head of consultant relationship for Taft Hartley plans at the firm...
MutualFundWire.com - Monday, March 18, 2002 Views - Reader Rating: 3
Vanguard Welcomes Two
Actively Managed Funds ... Cohen at ProFunds ... More for the Board...
MutualFundWire.com - Monday, March 18, 2002 Views - Reader Rating: 3
Vanguard Welcomes Two
Actively Managed Funds ... Cohen at ProFunds ... More for the Board...
401kWire.com - Monday, March 18, 2002 - Reader Rating: 3
New Face at BA
BrokerageAmerica has a new veep for its broker/dealer sales channel and will be looking to fill other spots...
MutualFundWire.com - Monday, March 18, 2002 Views - Reader Rating: 3
Putnam Ends Eleven
In an effort to better focus its resources, the firm is merging 11 of its funds...
MutualFundWire.com - Monday, March 18, 2002 Views - Reader Rating: 3
Alliance Raises Capital for Two European-Focused Funds
Alliance Capital has finished the offering period for its first pan-European equity and fixed-income funds for offshore investors...
MutualFundWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Sponsor Contemplates the Internet
Arlington, Virginia-headquartered Chemical Manufacturers Association is considering whether or not to add Internet access for its participants, Judy Chipman, director of compensation and benefits, told the 401kWire.com. The plan has approximately 200 participants and $17 million in assets...
401kWire.com - Thursday, March 18, 1999 - Reader Rating: 3
SVA March 12, 1999

Weekly Bullet GIC/BIC Statistics from FCM

Rates as of March 12, 1999*

Compound 3 Year 5 Year 7 Year 10 Year
High 6.13 6.41 6.38 6.53
Average 5.81 5.99 6.08 6.21
Low 5.26 5.51 5.64 5.71
Treasuries 5.05 5.12 5.16 5.20
Spread 1.08 1.29 1.22 1.33
Issuers 21 21 18 9
Simple 3 Year 5 Year 7 Year 10 Year
High 6.11 6.36 6.33 6.47
Average 5.79 5.95 6.01 6.15
Low 5.25 5.45 5.55 5.71
Treasuries 5.05 5.12 5.16 5.20
Spread 1.06 1.24 1.17 1.27
Issuers 26 26 19 11

*All rates are for non-benefit responsive, investment-only contracts with a value of $5 million. Rates are net of all expenses, with no commissions payable. Treasury quotes are for close of business Wednesday.

Source: Fiduciary Capital Management

..

401kWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Federated Names Senior VP of Equity and High Yield Unit
Federated Investors has a new head of the trading unit that manages its equity and high yield group mutual funds...
MutualFundWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Westcore Funds Launches Advisor-Only Website
Westcore Funds has launched an advisor-friendly website, offering presentation tools and advisor services...
MutualFundWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Great West Deploys Internet Services for Sponsors
Great-West Life of Denver, Colorado is the latest 401(k) provider to give its clients access to account information via the Internet. Called KEYLink, this latest component in the system allows sponsors to keep abreast of data about defined contribution plans...
401kWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Odd Lots, March 18, 1999
FRC releases study that echoes the mutual fund performance credo ... An early review of Merrill's new ad campaign ... Japan is starting to heat up again for fund managers...
MutualFundWire.com - Thursday, March 18, 1999 - Reader Rating: 3
Winning Sales in a Maturing Market
In a maturing market, there is still hope on how to win new sales. From the frontlines, our featured columnist Elmer Rich looks at the ways to get new business...
401kWire.com - Thursday, March 18, 1999 - Reader Rating: 3
J.P. Morgan/American Century Scores Two in Missouri
The City of Kirkwood, MO and the City of Springfield, MO have chosen J.P. Morgan/American Century Retirement Plan Services to be the bundled recordkeeper for their defined contribution plans...
401kWire.com - Wednesday, March 18, 1998 - Reader Rating: 3
Hormel Bundles with MassMutual
Austin, MN-based Hormel has tapped MassMutual as the bundled provider for its 401(k) plan. Jim Doyle, corporate manager of employee benefits, told the 401kWire that the decision was made after a year-long search. Hormel found MassMutual to be a “good institution that was dedicated to providing superior customer service and its technically superior recordkeeping system”. Hormel’s plans (a profit-sharing plan and a 401(k) with combined assets of $350 million) had been using MassMutual’s funds for twelve years, and it was a natural move for the company to contract with the vendor for a bundled product, according to Doyle. ..
401kWire.com - Wednesday, March 18, 1998 - Reader Rating: 3
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