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Stories Published Between 10/1/2003 And 1/1/2004
12/31/2003 NASD Issues Year-End Report
12/31/2003 Scandal Cannnot Keep Funds Down
12/30/2003 Fund Firm Names A New President
12/30/2003 SSRM Names New Managers
12/30/2003 SEC Puts Managers Under Microscope
12/29/2003 Ned Johnson Speaks Out On The Industry
12/29/2003 Fund Firm Names New Board Member
12/29/2003 One Tool, Many Functions
12/29/2003 Hedge Fund Names New Sales Chief
12/24/2003 Franklin Executive Resigns
12/24/2003 Firm Says Fines To Come
12/23/2003 SEC Files Charges Against Brokerage
12/23/2003 Fidelity Closes Fund
12/23/2003 Fund Software Company Makes Acquisition
12/23/2003 Pilgrim Baxter Loses Mandate
12/22/2003 Eleven Steps to Fix the Fund Industry
12/22/2003 Vanguard Readies four Cash Funds
12/22/2003 Fund Adoption by Strong is Delayed
12/22/2003 Bonuses Still Good At Putnam
12/22/2003 Franklin Templeton Disciplines Three
12/19/2003 Rating Agency Changes Its Mind About Janus
12/18/2003 Two Firms Join Forces To Offer Advice To Fund Cos.
12/18/2003 Testa to Retire from T. Rowe Price
12/18/2003 Spitzer May be Targeting Another Brokerage Next
12/17/2003 Commishes Give Thumbs Up to Breakpoint Disclosure
12/17/2003 ICI Pushes Forward With Soft Dollar Recommendations
12/17/2003 Kansas 529 Adds Fund
12/16/2003 Small B-Ds Fight ICI Research Proposal
12/16/2003 Lord Abbett Readies International Fund
12/16/2003 Fund Firm Names New Manager
12/16/2003 Who Was Manager of the Year?
12/16/2003 Alliance Agrees to Accept Fee Cut
12/15/2003 Rocky Mountain Fund Firm Changes Name
12/15/2003 Haaga Asks for Ban on Directed Commission
12/15/2003 Fido Wins Mandate from Putnam
12/12/2003 BofA Snags Columbia Asset Management Head
12/12/2003 KeyCorp Fires Several Brokers
12/12/2003 Chicago Funds Announce Closings
12/12/2003 Spitzer Raises $2 Million And Some Questions As Well
12/11/2003 Vanguard Awards Billion Dollar Mandate
12/11/2003 Clay Plans Sale of Eaton Vance Shares
12/11/2003 SEC Charges Fund Company With Mispricing
12/10/2003 Principal Global Adds To Managed Accounts
12/10/2003 Pru Brokers Take Case to Court
12/9/2003 SEC Is Looking at American Skandia
12/9/2003 E*Trade Begins Rebate Program
12/9/2003 Data Co. Intros Disclosure Tool
12/8/2003 Mega Pension Plans Gang up on Putnam
12/8/2003 Rating Agency Foresees Profits Pressure for Fund Advisors
12/8/2003 BGI Gets TIPSy in Time for X-Mas
12/5/2003 NASD Takes Action Against Piper Jaffray Broker
12/5/2003 Janus Announces New Managers
12/5/2003 Goldschmid Speaks Out On The Future Of Funds
12/5/2003 Pru Branch Managers Say Their Actions Were Legitimate
12/4/2003 Piper Jaffrey Disciplines Two After Finding Timing
12/4/2003 Merrill to Repay $11 Million
12/2/2003 High Net Worth Investors Have Little Faith In Funds
12/2/2003 Law Firm Plans To Sue Janus and Putnam
12/2/2003 INVESCO Could Be Hit With Civil Charges
12/1/2003 Fido Adds Redemption Fees
12/1/2003 Calamos Opens New Fund
12/1/2003 SEC Feels the Axe
12/1/2003 Bank One Forsees Regulation
11/26/2003 Masschusetts Goes After Morgan Stanley
11/25/2003 Fund Co. Finds Replacement For Putnam
11/25/2003 UBS Review Finds Timing
11/24/2003 Montgomery Vet to Cover Southwest
11/24/2003 Park Avenue Web Site Rebranded
11/24/2003 Fund Firm Hires Sales Honcho
11/21/2003 Amvescap Buys Wealth Manager
11/21/2003 Fund Takes Life Changes Into Account
11/21/2003 Dow Jones Licenses Portfolio Indexes
11/20/2003 AMEX Cleans House
11/20/2003 Gabelli is Clean Says Founder
11/20/2003 Janus Expects to Bring on CIO Shortly
11/19/2003 Comey Probes Bear Stearns
11/19/2003 Two More Firms Subpeonaed
11/19/2003 Undiscovered Managers Taps Deeper Pockets
11/19/2003 Congress Promises Action on Reforms
11/19/2003 Fund Firms May Have a Role Model at MFS
11/19/2003 Going Inside a 529 Program
11/18/2003 San Fran Firm Adds Asian Fund
11/18/2003 American Century Expands
11/18/2003 Pension Fund Fires Putnam
11/18/2003 Donaldson Takes on Critics
11/18/2003 Deal! Two Cos. Sign Fund Adoption Agreement
11/18/2003 Axe Falls At Janus
11/17/2003 Nevada Dumps Strong
11/17/2003 New Fund Targets Governance
11/14/2003 Putnam Facing 16 Suits
11/14/2003 BISYS Signs On To Administer Fund Family
11/14/2003 Schwab Finds Evidence Of Timing
11/13/2003 Software Co. Names New Marketing Head
11/13/2003 Two More Firms Are Subpoenaed
11/13/2003 T. Rowe CFO Replaced
11/13/2003 Massachusetts Couple Found Timing
11/12/2003 Janus Says Offshore Accounts May Have Market Timed
11/12/2003 BoNY Joins the Fray
11/12/2003 The Fund Scandal Gets International
11/11/2003 Another State Starts Fund Probes
11/11/2003 Criminal Charges Pending At Strong
11/10/2003 Bridgeway Launches New Funds
11/10/2003 Fund Probes Take New Directions
11/10/2003 Alliance Head Is Shown The Door
11/10/2003 Fund Ad Campaigns Affected By Scandal
11/7/2003 Akaka Bill Gains Support
11/7/2003 Paper Highlights Timing in VAs
11/7/2003 529 Plan Sponsors Review Options
11/7/2003 Putnam Sees Retail Outflows
11/6/2003 Will Lasser Be Able to Open His Golden Parachute?
11/6/2003 Richardson Joins Legg Mason Board
11/6/2003 PFPC Expands Distribution Services Group
11/6/2003 NASD Probes 12 Brokerages
11/6/2003 Fund Directors Delay Adoption by Strong
11/6/2003 Spitzer Aiming At Settlement
11/5/2003 Senators Propose Mutual Fund Bill
11/5/2003 Schwab Investment Management Adopts Fund Family
11/4/2003 What is the Fate of the SEC?
11/4/2003 Five Prudential Brokers Busted
11/3/2003 Heads Roll
10/31/2003 Raises Are Back at Franklin
10/31/2003 Sanders Says No Timing Trades at Alliance
10/31/2003 EdVest Board to Meet Monday
10/31/2003 Putnam Drops Manager Name from Listing
10/31/2003 Feds Knock on Putnam Doors
10/29/2003 Chuck Schwab Likes TD Waterhouse
10/29/2003 Can Larry Hang On at Putnam?
10/29/2003 Will the SEC be Kicked Awake?
10/27/2003 MassMutual To Add Eight Funds
10/27/2003 S and P Stays Sitting on the Fence
10/27/2003 DeMartini Loses Out to Fleet Exec
10/27/2003 BofA Fund Arm Taps Recruiter to Find CEO
10/27/2003 Bank Of America Set To Buy Fleet
10/24/2003 Ex-BOA Manager Sues
10/24/2003 Ex-Pru Managers Under The Microscope
10/24/2003 Smith Barney Loses Four
10/24/2003 Putnam Fires Six Managers
10/23/2003 Johnson Names Successor CEOs
10/23/2003 Colorado Firm Lands Safeco Wholesaler
10/23/2003 Rules Would Simplify Changing Subadvisors
10/23/2003 Royce Fund to Invest in Financial Services
10/23/2003 TIM Appoints Business Practices Chief
10/23/2003 MFEA Adds to Exec Committee
10/23/2003 Were Funds in Cahoots With Brokers?
10/22/2003 AIM Mergers Are A Go
10/22/2003 Newest BGI ETF To Track Whole Market
10/22/2003 Adoption Approved! Two Funds Get New Parent
10/22/2003 Vanguard: We Will Show Ours...
10/21/2003 PFPC Offers 529 Aggregation to Clients
10/21/2003 Denver Firm Signs on with Fair Pricing Service
10/21/2003 SEC Clarifies Disclosure Needs for Government Funds
10/20/2003 Advisor Portal Expands Capabilities
10/17/2003 New Faces At Waddell & Reed
10/16/2003 Dreyfus Promotes From Within
10/15/2003 Who has the Best Intermediary Web Sites?
10/14/2003 Fido Execs Met With Snow
10/14/2003 Bisys To Focus On Dublin
10/14/2003 SEC Looks Into Wilshire Fund Trades
10/13/2003 NASD Slaps REIT Sponsor with $150k Fine
10/13/2003 Who Will Succeed Fink?
10/9/2003 SEC Mulls New Rules in Response to Scandal
10/9/2003 TD Waterhouse Sale May be Near
10/9/2003 Bisys CEO Resigns
10/9/2003 Janus Revamps B-D Sales Force
10/9/2003 Snow Meets Fund Execs
10/8/2003 Former US Trust Honcho Takes New Job
10/8/2003 Bisys Names Fund Service Head
10/8/2003 Driehaus Completes Fund Mergers
10/8/2003 Bay State Reportedly Mulls Putnam Firing
10/7/2003 Schwab Gives Charitable Tool to Advisors
10/7/2003 Bisys Names BizDev VP for Private Equity
10/6/2003 Publisher Wins $20 Million from Legg Mason
10/6/2003 Russell Buys FT Interactive Unit
10/6/2003 Bands Play on at Baron Meeting
10/3/2003 ICI Creates Task Forces In Response to Spitzer Allegations
10/3/2003 Merrill Fires Three Brokers
10/3/2003 Conseco Sells Fund Group
10/3/2003 Delaware Makes Something Old Something New
10/2/2003 Fidelity to Offer ETF Family
10/2/2003 Smith Barney Fires Broker for Late Trading
10/1/2003 Ex-Dreyfus EVP Joins Black Diamond
10/1/2003 Lord Abbett Closes Fund
10/1/2003 Integrity Moves Closer to NYC

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