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Stories Published Between 1/1/2004 And 4/1/2004
3/31/2004 Safeco Names Acting Funds Group President
3/31/2004 Fund Firm Adds Class A Shares
3/31/2004 American Century Adds to Value Lineup
3/31/2004 Fidelity Fixed Income Exec Move to Pru
3/31/2004 AIM Fund Gets New Name
3/30/2004 SEI Hires State Street Pro
3/30/2004 REIT Fund Specialist Eyes IPO
3/30/2004 Safeco Mutual Funds Loses President to Schwab Institutional
3/30/2004 Putnam Lovell Adds Fund Expert
3/30/2004 Buckeye State 529 Adds Funds
3/29/2004 AllianceBernstein Names Fixed Income CIOs
3/29/2004 Capstone Funds Hires Fund Accountant
3/26/2004 Scandals Force Four Fund Managers from U.S. Bancorp
3/26/2004 I-Bank Settlement Funds Put to Good Use
3/26/2004 UMBISG Implements Global Plus
3/25/2004 Putnam Ups Stake in PanAgora
3/25/2004 Manulife Hancock Job Cuts
3/25/2004 ICI Reports ETF Assets
3/25/2004 New Bond Index at JPMorgan
3/25/2004 New Hire at Financial Research Corp
3/25/2004 Wells Fargo Picks Design Vendor
3/24/2004 Vanguard Reopens Precious Metals Fund
3/24/2004 SEC Looks at Fair Pricing
3/24/2004 SunGard INVEST ONE Module
3/24/2004 AXA Unit in Outsourcing Talks
3/23/2004 Special Agent to Lead DTCC Security
3/23/2004 Socially Responsible Investment Firm Expands
3/23/2004 SEC Task Force Seeks Better Answers for Fund Oversight
3/23/2004 Putnam Takes Lead in Limiting Perks
3/22/2004 One Stop Shopping at Oppenheimer
3/22/2004 New Annuity from New York Life
3/22/2004 New Market Timing Disclaimers
3/19/2004 Columbia Execs Not Returning
3/19/2004 New Program Targets Trading Exceptions
3/19/2004 Brokers Have to Know Thier Clients
3/19/2004 Breakpoint Tool Sales Increase
3/18/2004 TIAA-CREF Still Looking after CIO Appointment
3/18/2004 UK Completes Initial Market Timing Probe
3/17/2004 Morgan Stanley Ends Soft Dollar Use
3/17/2004 Fido Lobbies SEC in Favor of Interested Fund Chairs
3/17/2004 SEC to Scrutinize 529 Plan Fees
3/16/2004 Buffett Joins the Fund Industry
3/16/2004 Congressional Quintet Supports Independent Director Rule
3/16/2004 State Street Chiefs See Bonus Cuts
3/16/2004 MFS Joins Fido in Call to End Soft Dollars
3/15/2004 Investigators Asked KeyCorp for Info
3/15/2004 Fidelity Wants More Brokerage Disclosure
3/15/2004 Janus Hires Top Investment Officer
3/11/2004 Commishes Wonder About Unintended Consequences
3/11/2004 Firm Clones Successful Fund
3/11/2004 Aggressive Growth Fund Not Aggressive
3/11/2004 ICI Names Successor for Fink
3/11/2004 Wells Fargo Says Yes to Adopting Funds
3/11/2004 Dreyfus Acquires Assets
3/10/2004 SEC Looks Into Dutch Annuity Underwriters
3/9/2004 New Role for Morningstar Indexes
3/9/2004 Hayes to Leave Janus Board
3/9/2004 Merrill Ready to Add Redemption Fee
3/9/2004 Vanguard Extends Trading Privileges
3/8/2004 Fund Regulator Shares 10 Lessons
3/8/2004 MetLife Reveals Requests by Regulators
3/8/2004 Janus Takes Write-Down Over Lost Mandates
3/5/2004 New SEC Surveillance Program Planned
3/5/2004 Number Two Fund Firm Closes Two Funds
3/4/2004 Fund Drops 12b-1
3/4/2004 MassMutual Expands International Presence
3/4/2004 Amex Unveils Eight Funds
3/3/2004 Lobbying Firm to Represent Fund Directors
3/3/2004 Congress Pushes Ahead on Fund Reform
3/3/2004 Trade Group Supports Soft Dollars
3/2/2004 The Mass Affluent and How to Reach Them
3/2/2004 Is It Safe to Invite the Press to Lunch?
3/2/2004 Small Cap Growth Fund Launch
3/1/2004 BMO Drops Two Subadvisors
3/1/2004 Merger Boosts Hennessy Assets
3/1/2004 Fund Takes Advantage of New Tax Rules
2/27/2004 Sales Charge Waivers Trip Up AXA
2/27/2004 SEC Staff Recommends Action Against PIMCO
2/25/2004 SEC Says Complaint Levels Fell Pre-Canary
2/25/2004 New Tools for College Savers
2/25/2004 PwC Says Disclosure Is Not Enough
2/24/2004 Rydex Launches 11 New Funds
2/24/2004 Goldman Sachs Details Settlement
2/24/2004 SEC Charges After Fleet
2/24/2004 Canadian Firm Intros New Funds
2/23/2004 Two New Suits Filed Against Fleet
2/23/2004 Fidelity: Earnings Up 12 Percent
2/23/2004 T. Rowe Closes Fund
2/20/2004 New Head of Massachussets Pension Fund
2/20/2004 Putnam Lovell Splits Off Private Equity Arm
2/20/2004 Reuters Sells TowerGroup to MasterCard
2/19/2004 Regulators Focusing On NorthWestern Mutual
2/19/2004 International Management Firm Names New Board
2/18/2004 More Probes at MFS
2/18/2004 TIM Taps Operations Leader
2/18/2004 Franklin Collects $32 million for Sept. 11 Attacks
2/18/2004 Managers Step Down at
2/18/2004 Oregon Hires Oppenheimer for 529
2/18/2004 Keystone State Fund Brings on Top Dog
2/18/2004 Fidelity Advertising Staying Put
2/18/2004 Boosting Morale At Putnam Through Cash
2/17/2004 Deutsche Asset Management Rehires Director
2/17/2004 T. Rowe Names New CFO
2/17/2004 Pioneer Completes Adoption
2/13/2004 Record January Inflows to Stock Funds
2/13/2004 John Hancock Hires Sustainable Growth Advisors
2/13/2004 A Banner Year for IMS
2/13/2004 Putnam Assets Still Declining
2/12/2004 Strong CEO Says Sale is Near
2/12/2004 Baird Names New CIO
2/11/2004 Legg Mason Unit Settles SEC and NASD Charges
2/11/2004 Former Fidelity Employee Sentenced
2/11/2004 Commishes Take Stab at Fee and Portfolio Disclosure
2/11/2004 Fund Firm Announces Several Promotions
2/10/2004 Raymond James In Settlement Talks
2/10/2004 Strong OK With Whistle Blowing
2/9/2004 Could Fremont Funds Have a Buyer?
2/6/2004 Ameritrade Places ETF Bet
2/6/2004 CIBC Honcho Ousted
2/5/2004 Fido Offers Air Miles
2/5/2004 New Class Action In Fund Scandal
2/5/2004 UBS Launches New Hedge Fund Unit
2/4/2004 Biblical Fund Expands Sales Team
2/4/2004 SEI Offers Assist to Fund Marketers
2/4/2004 Janus Earnings Up
2/4/2004 MFS Watchlisted
2/4/2004 CIBC Trader Arrested
2/3/2004 Davis Selected Manager Makes Court Appearance
2/3/2004 ING Launches New Fund
2/3/2004 DST Adds Search Tool To Its 529 platform
2/3/2004 Veteran Vanguard Manager Retires
2/3/2004 SEC May Get Raise
2/3/2004 MFS Sees Slight Redemptions
2/3/2004 Seligman Hires Subadvisor
2/3/2004 Rydex Hires Insurance Head From Putnam
2/2/2004 Schwab Completes Adoption
2/2/2004 SEC Taking Another Look At Hedge Funds
2/2/2004 Pacific Funds Intros New Fund Family
1/30/2004 Alger Loses Subadvisory Mandate
1/30/2004 Another Firm Sues Eaton Vance
1/30/2004 Roye Expects Directed Commission Ban
1/30/2004 Pru Brokerage Fined $2 Million
1/30/2004 Grand Jury Weighing Evidence Against Strong
1/30/2004 Sun Life Prepping For MFS Settlement
1/30/2004 Alliance Announces Plans For The Future
1/29/2004 Eaton Vance Raises A Billion
1/29/2004 Fidelity Reopens Fund
1/29/2004 Forward Funds Completes Conversion
1/29/2004 SEC Targets MFS CEO
1/28/2004 Want to Learn About the Fund Industry?
1/28/2004 Profits Are Up at Marsh
1/28/2004 Fund Probe Goes International
1/28/2004 Putnam To Slash Fees By $35 Million
1/27/2004 TowersGroup Weighs In On Soft Dollars
1/27/2004 Second Firm Sues Scudder
1/27/2004 New 529 Sales Tool
1/26/2004 Morningstar To Launch New Research Tool
1/26/2004 Legg Mason Launches New Fund
1/26/2004 Manulife Adds New Funds
1/26/2004 Fund Company Head Speaks Out Against ICI Proposals
1/23/2004 Policy Makers To Talk About The Future
1/23/2004 Franklin Resources Does Well Despite Scandal
1/23/2004 MFS Said To Be Near Settlement
1/22/2004 Scudder, DeAM Slapped with Class Action
1/22/2004 Turner Names 2004 Partner Class
1/22/2004 Strong Analyst Joins Buffalo
1/22/2004 Quick-Selling Fund Group Names Independent Chair
1/22/2004 Firm Intros BreakPoint Tool
1/22/2004 Parent Takes TD Waterhouse Off the Auction Block
1/22/2004 Fido Launches New Fund
1/21/2004 New Product To Tighten The Settlement Process
1/21/2004 Fund Firm Announces New SVP
1/21/2004 Fund Firm Adds New Disclosure Tool To Web site
1/21/2004 BISYS Launches New Service
1/21/2004 Manager To Launch Several New Funds
1/20/2004 Janus Names New Division Head
1/20/2004 PFPC Lands KeyCorp Exec
1/20/2004 Waddell and Reed Completes Fund Merger
1/20/2004 2003 A Good Year for Some 529 Plans
1/20/2004 Two Firms Announce Educational Alliance
1/20/2004 TD Waterhouse Sees its Adoption Fall Through
1/16/2004 Pozen Takes on Board Duties
1/16/2004 JP Morgan Will Fold in One Group
1/14/2004 Deal Creates $221 Billion Fund Group
1/14/2004 Commishes Target Fund Governance
1/14/2004 NASD Goes After Waddell & Reed for VA Switches
1/14/2004 Fidelity No Longer Tops in Beantown
1/13/2004 Merrill Buys ABN AMRO Divisions
1/13/2004 TD Waterhouse Deal May be Close at Hand
1/13/2004 Judge Dismisses Case Against Morgan Stanley
1/13/2004 Assets Up at Fidelity
1/12/2004 NASD Fines LA Broker $1.5 Million
1/12/2004 WaPo Digs Into ICI Lobbying Efforts
1/12/2004 AdvisorCentral Builds Relationships to Draw Advisors
1/12/2004 Canadian Funds Get New Conflict of Interest Rules
1/9/2004 Do Attorney Generals Get Jealous?
1/9/2004 Invesco Loses Asian Distributor for Now
1/8/2004 New Fund Takes On Funds-of-Hedge-Funds
1/8/2004 Seligman May Have Violated Rules by Rewarding B/Ds.
1/8/2004 Six Steps Fund Directors Must Take
1/6/2004 Regulators Cast Wary Eye at Bank Fund Risks
1/6/2004 Fidelity Offers Dividend Play
1/6/2004 Denver Fund Firm Shakes Up its Lineup
1/6/2004 ICI Officials Face Hostile Reporters
1/5/2004 Legg Mason Picks Up Singapore Assets
1/5/2004 Morningstar Names Top Managers for 2003
1/5/2004 T. Rowe Adds Mid-Cap Fund

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