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Stories Published Between 10/1/2004 And 1/1/2005
12/30/2004 Farewell Jean-Marie
12/30/2004 Another Mutual Fund Store is Coming Soon
12/30/2004 NASD Toots Own Horn
12/29/2004 Metavante Adds Patriot Act Compliance to Bag of Tricks
12/29/2004 Heartland Reopens Value Fund
12/29/2004 ICON Hires Northwest VP
12/29/2004 T. Rowe, PIMCO Charge Ahead in DC Rankings
12/28/2004 And Its Miller from Behind!
12/28/2004 Fido Plans New Branches
12/28/2004 Janus Will Start 2005 Aggressively
12/28/2004 Performance Still Matters Most
12/27/2004 Vote or ... Nothing
12/27/2004 A Fund that is No Fund
12/22/2004 Janus Wins Spot on Privatized Dutch Pension System
12/22/2004 Commishes Punt on Advisor Registration for Brokers
12/22/2004 Get Those Votes in Says BlackRock
12/22/2004 Fund Lawyers Rake in Cash from Embattled Fund Firms
12/22/2004 Primecap Continues Odyssey
12/21/2004 Faustian Bargain at Eaton Vance?
12/21/2004 Competition in Store for Industry, Says Vendor
12/20/2004 New HighMark Web Wins Award
12/20/2004 Pioneer Parent Names Top Executives
12/20/2004 Franklin to Merge Fund Sold by First Command
12/20/2004 Shareholders (Mostly) Give Strong the Go Ahead
12/20/2004 Fido Fined DeSano
12/17/2004 Fido Fires Traders
12/17/2004 Fido Buys Way to Bigger Clearing Ops
12/16/2004 Ameritrade Going on the Block?
12/16/2004 Many are Leaving SSRM in Wake of Sale
12/16/2004 What Can You Buy for $281.2 Million?
12/16/2004 JPMorgan Expands Managed Account Ops
12/16/2004 Spitzer Looks Into Morningstar 401k Picking
12/15/2004 Hennessy Lives Large
12/15/2004 Cohen & Steers Reaches Beyond Comfort Zone
12/15/2004 SEC Commands First Command to Pay up
12/15/2004 New AA Funds at Top of List for Rydex Hire
12/14/2004 529s Look Evergreen
12/14/2004 Cohen & Steers Eyes New Digs, New Opportunities
12/14/2004 Schwab Investors Favor Growth
12/14/2004 Alger Hires Whitehall Manager
12/14/2004 Wachovia Changes Pay Plan
12/14/2004 Politics at the SEC
12/13/2004 Distribution at Russell Gets New Leadership
12/13/2004 As State Street Exits 529 Biz, Others Pick up Slack
12/13/2004 Pioneer Finalizes Safeco Deal
12/13/2004 Dodge & Cox Take Early Lead in Manager Poll
12/13/2004 SEC Questions Family Ties at Fido
12/13/2004 Mason: A Bigger Celebrity Than Jobs?
12/10/2004 Franklin Makes Bet Against B Shares
12/10/2004 Yardeni to Manage New Oak Fund
12/10/2004 BoA Promises Beantown 300 More Jobs
12/10/2004 Will Strong Get His Payoff?
12/10/2004 Fido Gets Korea Entree Approved
12/10/2004 ETF Creator Dies
12/10/2004 JPMorgan Gets Shareholder O.K.
12/10/2004 Schadenfreude for DeSano
12/10/2004 First Command Halts Contract Plan Sales
12/9/2004 Indy Chair: Not for the Faint of Heart
12/9/2004 SIA Puts Damper on Social Security Party
12/9/2004 No More Energy From Vanguard
12/9/2004 Nutmeg State Bank Signs with S&P
12/9/2004 Fido Said to Fire Traders
12/9/2004 Schwab Funds Opt for D&T
12/9/2004 SEC Investigates TIAA-CREF
12/9/2004 Miller Overshadows Mason
12/8/2004 H&R Block Sees End in Sight
12/8/2004 New Public Face at the ICI
12/8/2004 Funds Can Help During Tax Time
12/8/2004 Pershing Hires Schwab Exec
12/7/2004 Global Oakmark Fund Gets New Manager
12/7/2004 Spitzer Goes for the Gold
12/7/2004 Glassman Explains Her Dissent
12/7/2004 What to do About the Indy Rule?
12/7/2004 SEC Asks Bisys for Info
12/7/2004 SEC Subpoenas Fido in Gift Giving Probe
12/6/2004 Julius Baer Sheds Private Client Biz
12/6/2004 Shiebler Stays with DeAM
12/6/2004 Holiday Cheer for Citizens Advisers Exec
12/6/2004 UMA Provider Adds Three Execs
12/6/2004 Fido-Backed Co. Strips All
12/6/2004 Summit Loads Up
12/6/2004 Soft Dollars on the Front Burner
12/3/2004 MMI Moves HQ
12/3/2004 Asset Management Biz is Here to Stay, Says Citi
12/3/2004 Kuenster Resigns from Putnam
12/3/2004 Shiebler: Will He Stay or Will He Go?
12/3/2004 SSB Loses Top Philly Consultant
12/3/2004 Goldman Buys $1 Bn Fund Group, But Why?
12/2/2004 Senator Calls for More Fund Reforms
12/2/2004 MFS Adds International 529 Option
12/2/2004 Fund Voice Goes Silent
12/2/2004 Informa Adds Funds to PSN
12/2/2004 Eaton Vance Eyes Staff Additions
12/1/2004 Georgia on My Mind?
12/1/2004 Phoenix to Unveil Two Bond Funds
12/1/2004 Steady as She Goes
11/30/2004 It is a Good Time to Ask for that Raise
11/30/2004 ICAA Asks SEC to Clarify Email Rules
11/30/2004 Commerce v. SEC Gets Date
11/29/2004 NASD Looks at Sales of Out of State 529 Plans
11/29/2004 Columnist Tired of Sucker Treatment
11/29/2004 Israel Fund Market Offers Opportunities
11/24/2004 Bank Loan Funds Fuel Sales for Eaton Vance
11/24/2004 Unpopular SEC Proposals Will Likely Change, Says Insider
11/24/2004 Evergreen to Shutter Mid Cap, Tech Funds
11/24/2004 A Gifted Fido?
11/23/2004 Spitzer Has Eyes on Bigger, Better Things
11/23/2004 Top Dog at National City Investment to Resign
11/23/2004 Congress Quells Uproar over Indy Chair Rule
11/23/2004 Come Again?
11/23/2004 Integrity Acquires $70 MM in Funds
11/23/2004 Dem Commissioner to Leave SEC
11/22/2004 Inefficient Amvescap
11/22/2004 When is a Team a Team?
11/22/2004 Franklin Admits Wrongdoing
11/22/2004 John Hancock Insider Will Focus on Institutional Biz
11/19/2004 Remaining Fund Reforms May Stall Until 2005
11/19/2004 Fidelity Adds Advisor Tools
11/19/2004 Is Fido Booking Passage to Korea?
11/19/2004 Putnam Chairman Resigns from MMC Board
11/18/2004 Investors Pile into Gold ETF
11/18/2004 Pershing Dumps S&P for Morningstar
11/18/2004 Cincy Fund Firm Outsources Distribution
11/18/2004 Fund Cos Get Fair Value Treatment
11/18/2004 MFS is Cool as a Cucumber
11/18/2004 SEC Staffs Northeast Office
11/17/2004 Will the SEC Lose the Indy Chair Rule Fight?
11/16/2004 Schwab Adds Funds for the Tax Savvy
11/16/2004 Indexer Ends Exclusivity
11/16/2004 Franklin Eyes Core Assets
11/16/2004 Lehman on the Lookout for Asset Managers
11/16/2004 TIAA-CREF Goes Live with Lifecycle Funds
11/16/2004 Black Unveils Efforts to Get Janus Back on Track
11/15/2004 Putnam Slashes 100 Jobs
11/15/2004 Merrill CEO Affirms Commitment to Money Management
11/15/2004 Deal Brings Legg Mason $5.8 Billion
11/12/2004 More Wholesalers Hit the Road with Blackberrys
11/12/2004 BGI Exec Tolls Bell
11/12/2004 Integrity Reports Q3 Earnings, Drop in Assets
11/12/2004 Gold-Based ETF Will Trade Before 2005
11/11/2004 Alliance Execs Take on More Hats
11/11/2004 401(k) Participants Favor International, Fixed Income
11/11/2004 NewRiver Head Fills C-Suite
11/11/2004 Marsh: Putnam is Not for Sale
11/10/2004 Cali Firm to Track ETFs
11/10/2004 Fund Opening: Fido Launches Two Small Cap Funds
11/10/2004 QQQ Adds a Q
11/10/2004 Pottruck Cashes Out
11/9/2004 NewRiver Eyes Sale of Wealth Software Biz
11/9/2004 SEC Probes Stock Loans
11/8/2004 Alger Hires Ex-Gabelli Exec for Institutional Side
11/8/2004 Fido First to Blink in Clash over Redemption Fees
11/8/2004 SMAs See Modest Uptick in Assets
11/8/2004 GAO Suggests the System Needs Change
11/4/2004 Bulk of ETF Inflows Go to BGI
11/4/2004 American Funds Staffs Phoenix Service Center
11/3/2004 Voters Reelect Key Legislators
11/3/2004 HSBC Jumps on Asset Allocation Bandwagon
11/3/2004 Columbia Plans Liquidation of Small Funds
11/3/2004 Evergreen Exec to Depart
11/3/2004 SMA Providers Put the Squeeze on Manager Fees
11/2/2004 The Middle is a Bad Place to Be
11/2/2004 Gartmore, Scudder Chase Allocation Fund Flows
11/2/2004 AMG Finishes up Friess Acquisition
11/2/2004 Amvescap Names Chief Compliance Exec
11/1/2004 Is Fido Eyeing New Digs?
11/1/2004 MassMutual Will Tap Four SubAdvisors
11/1/2004 SunGard Brand Will Set on Financial Services Industry
10/29/2004 Legg Mason Looks to the East for Growth
10/29/2004 Cohen & Steers Eyes the Continent
10/28/2004 Lord Abbett Lives Large
10/28/2004 Federated Snaps up $29 Bn in Assets
10/28/2004 CNNfn Will Go Dark
10/28/2004 Calamos IPO Pulls in $360 MM
10/28/2004 Charles Schwab Loses Two Counsel
10/28/2004 An Automated SMA Contender Joins the Fray
10/28/2004 Fund Opening: IMG Launches a Money Market Offering
10/28/2004 Acadian Finds CCO
10/27/2004 Fund Opening: Hartford to Launch Mid Cap Value
10/27/2004 Fido Swaps Managers
10/27/2004 Fund Closing: Masters Select International Fund
10/27/2004 T. Rowe Price, Off by a Penny
10/27/2004 AMG Names CEO
10/25/2004 Aquila Names CEO
10/25/2004 Principal Gobbles Connecticut Manager
10/25/2004 Baring Hires Equity Manager
10/25/2004 Gabelli Misses Earnings Expectations
10/25/2004 Closed Enders Can Swallow Poison Pills
10/25/2004 Gross Wins Fight for Pimco Name
10/22/2004 Inflows Pump Legg Mason Earnings, Royce to Close Fund
10/22/2004 Vanguard Reopens Fund
10/22/2004 Putnam Trims Staff
10/22/2004 SEC Loses Enforcement Vet
10/22/2004 ING Sells LA Shop
10/20/2004 Dreyfus on the Hunt
10/20/2004 Ameritrade Offers Fund Exhibitors a Brush with Hollywood
10/20/2004 Vanguard Pinches 529 Pennies
10/20/2004 AXA Intros Allocation Funds
10/20/2004 Jones Out at Citi Asset Management
10/19/2004 Nuveen Meets Earnings Estimates
10/19/2004 MFS Names Top Equity Officer
10/19/2004 Phoenix Hires Subadvisory Pro
10/19/2004 Wilshire Veteran Rejoins Firm
10/19/2004 Citigroup Buys ABN Amro Custody Biz
10/19/2004 Fidelity Cracks an Egg
10/18/2004 Court Will Expedite Indy Chairman Case
10/18/2004 How Bad Can it Be?
10/18/2004 BlackRock Reports Q3 Loss
10/15/2004 Thanks to Vanguard, MSCI Picks Up Steam
10/15/2004 SEC Will Revisit Hedge Fund Issue
10/15/2004 Oak Renews SEI Contract
10/15/2004 Schwab Reports Fund Assets
10/15/2004 Spitzer Investigates Advisory Firm
10/15/2004 Strong, MFS Snag Education Awards
10/14/2004 Another Headache for Putnam Parent
10/14/2004 John Hancock Bolsters Management
10/14/2004 Putnam Staffs New Lobbying Role
10/13/2004 MFACT Opens Up
10/13/2004 Forward Names Top Marketer
10/13/2004 Haaga Steps Down
10/13/2004 State Street Drops Jobs from 529 Biz
10/12/2004 Indy Directors Hear Cha-Ching
10/12/2004 Pioneer Folds in Value Fund
10/12/2004 NewRiver Names Top Dog
10/11/2004 Rydex Awards ETF Leader
10/11/2004 Fund Opening: Bay Area Firm Launches Ultra Short Strategy
10/11/2004 Fido Creates Indian Venture
10/11/2004 WSJ Says High Fund Fees Are Not Always a Bad Thing
10/8/2004 McDonalds: a Paragon to the Fund Industry?
10/8/2004 Regulators Snoop Around at Gabelli
10/8/2004 SSRM Shutters Four Institutional Funds
10/8/2004 SEC Scrutinizing Performance Fees
10/8/2004 Bogle, Lynch in Top 25 of Past 25
10/7/2004 CDC IXIS Reorgs Businesses
10/7/2004 Money Managers Ready Q3 Earnings
10/6/2004 The Other State Street and MetLife Strike a Deal
10/6/2004 SEI Adds One to Institutional Biz
10/6/2004 New Exec at Fido RIA Group
10/6/2004 A Sixty Bps Shortfall Costs $1 Billion
10/6/2004 Lawyer: CCO Requirement a Goldmine
10/6/2004 Survey: 401k Participation Falls
10/6/2004 Commonwealth Prepares for Growth with TA Swap
10/5/2004 Spitzer Talking Tough
10/4/2004 Fund Closing: Fido Shutters International Fund
10/4/2004 NASD Hits 18 Firms with $1.2 MM in Fines
10/4/2004 Fund Openings: Calvert Fills Value Void
10/4/2004 Top Exec at AIM on Leave
10/4/2004 Money Manager to Buy Brew Crew
10/4/2004 Just How Does an IPO Harm Fund Investors?
10/1/2004 Three American Century Funds Go Advisor-Only
10/1/2004 New Fund Offers International Diversification
10/1/2004 It is Partner, to You
10/1/2004 The New Face of the SEC
10/1/2004 Some B/Ds Start Revenue Sharing Disclosure

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