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Stories Published Between 7/1/2003 And 10/1/2003
9/30/2003 SEC Takes Step to Make Hedge Funds Register
9/29/2003 Seattle Insurer to Sell Investment Unit
9/29/2003 ProFunds Names COO
9/29/2003 Rydex Names Chief
9/29/2003 Manulife Buys Hancock
9/29/2003 Another Look Into Morgan Stanley
9/26/2003 Is Hancock a Buyer or a Seller?
9/26/2003 BGI Launches Fifth Bond ETF
9/26/2003 Nations Funds Names Chief
9/26/2003 Putnam Again Sees Net Outflows
9/24/2003 Bisys Names Fox CFO
9/24/2003 SEC Approves Ad Rules
9/24/2003 Hennessy Adds Fifth Fund
9/24/2003 Federated to Launch Muni-Dividend Fund
9/23/2003 S&P Reaffirms DTCC Credit Ratings
9/23/2003 Calvert Good for Moms
9/23/2003 Pioneer Grabs $140 Million in Two Deals
9/23/2003 Fund Scandal Not Over Warns Levitt
9/23/2003 Software Firm Retains Legal Eagles
9/23/2003 TIAA-CREF Zigs, Lets Go 500
9/22/2003 Manulife Debuts 529 Illustrator
9/22/2003 SSRM Names Distribution Chief
9/22/2003 Kansas Fund Firms May Gain Tax Refund
9/22/2003 American Century Leaving Rockies
9/22/2003 Fido Drops Select Loads
9/19/2003 Bay State to Review Putnam and Fido Mandates
9/18/2003 GE Sells Security Capital
9/18/2003 Europeans Get Own Diamonds
9/18/2003 Conseco Capital 40/86 Advisors Appoints Chief
9/17/2003 Putnam Hires Arnold as SVP
9/17/2003 Ex-Fido Trader Banned
9/17/2003 BGI Wins Two ETFs From Merrill Lynch
9/17/2003 How Did the Media Cover the $2 Million Morgan Stanley Fine?
9/16/2003 NASD Slaps Morgan Stanley with $2 Million Fine
9/16/2003 No, Size Does Not Matter
9/16/2003 Fleet Funds Get New Name
9/12/2003 Cantor to Offer Services to Asset Managers
9/12/2003 Putnam Buys More of Canadian Ally
9/11/2003 Net Fund Adivisor To Drop Net Name
9/11/2003 Janus Wooed Galbraith for CIO Job
9/10/2003 ING VAs Add American Funds
9/10/2003 Franklin Adds Three Muni Funds
9/9/2003 Donaldson Promises Hedge Fund Rules Soon
9/8/2003 Three Fidelity Funds Get New PMs
9/5/2003 Fink to Retire from ICI in 2004
9/5/2003 MFS Agrees to SEC Fine
9/4/2003 Gintel Shareholders Will Have New Home
9/4/2003 UBS Discloses Shelf-Space Payments
9/4/2003 Wasatch Closing Five More
9/2/2003 CI Completes 45 Fund Mergers
9/2/2003 SIA General Counsel to Leave
8/29/2003 Happy Birthday Mr. Dreyfus
8/29/2003 UBS Financial Lures Two Merrill Lynch Execs
8/29/2003 Fidelity Says RIA Group is Booming
8/29/2003 GE Asset Veteran Joins New Jersey Firm
8/28/2003 NASD Warns of Fines
8/28/2003 FleetBoston Less of a Target
8/28/2003 American Funds Takes Top Spot from Pimco
8/28/2003 Ex-Morningstar President Lands New Gig
8/28/2003 Putnam Lovell to Swing the Axe
8/28/2003 Neuberger Delays Shareholder Vote
8/27/2003 Barclays Trims Outside Index Work
8/27/2003 Wells Fargo Buys Small Cap Specialist
8/27/2003 Fund Still Paying the Piper After Nine Years
8/27/2003 NASD Orders Expedited Refunds
8/26/2003 Golden State Plans Advisor 529 Program
8/26/2003 Vision and Ark Families Finish Merging
8/26/2003 Eaton Vance Plans $300 Million CDO Issue
8/26/2003 Analytics Firm Adds Marketing Services
8/26/2003 Putnam Lovell Buys Stake in Advisor
8/26/2003 Closed End Funds Seeks New Advisor
8/26/2003 Janus Details Plans For DST Stake
8/25/2003 American Century Seeks Wholesalers
8/25/2003 Boston Distributor Adopts Chicago Fund
8/25/2003 Fund Claims Terminator as Partner
8/25/2003 Vice Fund Universe Gets Less Crowded
8/25/2003 Zweig Funds May Lose Zweig
8/25/2003 Three Scudder Funds See New Managers
8/22/2003 Deals Will Create New Number Two in Canada
8/22/2003 Delaware to Liquidate Four
8/22/2003 Fund Executive Arrested for Embezzling Assets
8/21/2003 Invesco Merges Units
8/21/2003 Franklin Templeton Opens Funds of Funds
8/21/2003 Iowa Selects Principal for Workplace Plan
8/21/2003 Schwab Awards Fund Accounting Contract
8/21/2003 BGI Plans Two More Bond ETFs
8/20/2003 Lockwood Continues to Push Past SMAs
8/20/2003 Strong Re-ups with TA
8/20/2003 Forward Eyes Stake in Subadvisor
8/20/2003 Schwab Target of Bomb Scare
8/19/2003 Disclosure Rules May Final by October
8/18/2003 ETF Volume Blacked Out
8/18/2003 ETF Volume Blacked Out
8/18/2003 Dems Get Fund Firm as Landlord
8/13/2003 SEI to Boost Infrastructure Spending
8/13/2003 Fido Gives Danoff New Fund
8/13/2003 AXA in a Buying Mood
8/13/2003 Schwab to Shutter a Score of Branches
8/12/2003 ManuLife Ties VAs and College Savings
8/12/2003 Franklin Wins Chinese OK
8/12/2003 Betting Against Bonds
8/11/2003 Galvin Goes After Morgan Stanley
8/11/2003 Principal Re-ups with PFPC
8/11/2003 Bisys Wins SEC Exemption for Fund Clients
8/8/2003 Oregon Firm Hires Another ex-Berger Exec
8/8/2003 A Shuffle of the Deck Leaves Subadvisor Out of $1.3 Billion Deal
8/8/2003 Janus Building Up Wholesaler Team
8/8/2003 Colby Takes Reins of Five Hancock Funds
8/7/2003 NASD Prescribes More Sunlight
8/7/2003 Hartford Turns to 401k Alliance as Model for 529
8/7/2003 Former Cerulli Analyst Joins Connecticut Consult
8/7/2003 Janus May Have Found Buyer for DST Stake
8/6/2003 Eaton Vance Renews TA Mandate
8/6/2003 Bond Pair Join T. Rowe Price
8/6/2003 JP Morgan Wins Custody Mandate
8/6/2003 Strong Enters the Matrix
8/6/2003 Vanguard Readies Target Allocation Funds
8/5/2003 Fidelity Awards Indexing Mandate
8/5/2003 Jensen Looks Past Retail
8/5/2003 AdvisorCentral Adds Aquila
8/5/2003 State Street Research Hires Fixed Income Head
8/4/2003 Did Fidelity & Federated Lobby the White House?
8/4/2003 DTCC Starts Work on Breakpoint Fixes
8/4/2003 S&P highlights Closed Funds Levying 12b-1 Fees
8/4/2003 Empire State Squeezes 529 Providers
8/4/2003 Franklin Swallows Remainder of Darby
8/1/2003 Another Three Funds to Disappear from Morgan Stanley Roster
8/1/2003 Strong Offers Dollar Cost Averaging
8/1/2003 Fidelity Adds to Advisor Fund Roster
8/1/2003 Oak Value Names Chairman and CEO
7/31/2003 Vanguard Makes Play for ETFs
7/31/2003 Smith Barney Awards Four Mandates
7/31/2003 Rydex Adds Marketer to Get Word Out to Advisors
7/31/2003 Newer Entrants Gaining Share of SMAs
7/30/2003 Firm Seeks Client Service Director
7/30/2003 DST Focuses Vision on Breakpoints
7/30/2003 ABN Amro Eyes Indian Fund Market
7/29/2003 ReFlow Builds Team
7/29/2003 RBC Affiliates Outsource Shareholder Services
7/29/2003 GIS Adds Reporting Tools for Hedge Funds
7/29/2003 Oak Value Executives to Discuss Plans
7/28/2003 ADP Adds Two 529 Options
7/28/2003 SB Asset Management Names CEO
7/28/2003 T. Rowe Reports Best Cash Inflows Since 1997
7/28/2003 Eaton Vance Fund Targets Dividends
7/25/2003 American Century Grows Institutional Team
7/25/2003 Putnam and Janus See Biggest Net Redemptions
7/25/2003 CSFB Will Not Replace Peek
7/24/2003 Quaker State Firm Drops B Shares
7/24/2003 Junk Team Follows Janus Manager
7/24/2003 Price Shopping in Manhattan
7/24/2003 Baker Bill Sails on to Full House
7/23/2003 AMG Says Profits Dipped
7/23/2003 North Track President Resigns
7/23/2003 No Quick Fixes to Breakpoint Mess
7/23/2003 Lawmakers Plan to Limit Agency Holdings by Funds
7/22/2003 Profits at Putnam Still Falling
7/22/2003 Gartmore Emerging Managers Deal Bears Fruit
7/22/2003 Money Center Bank Drops B Shares
7/22/2003 Neuberger Berman Sold
7/21/2003 Oak Value CEO Killed
7/21/2003 Driehaus Still Set on Mergers
7/21/2003 Baker Compromises
7/21/2003 Pimco Readies Six Funds
7/21/2003 Cornhusker 529 Gets Funds
7/18/2003 Riggs Funds Unloads Eight Funds
7/18/2003 Transamerica Hands New Duties to Nelson
7/18/2003 Bay Area Firm Saves by Swapping Back Offices
7/17/2003 SEC Goes After Atlanta Broker-dealer
7/17/2003 U.S. Giants Eye Singapore
7/17/2003 Hancock Terminates Subadvisor
7/17/2003 Fido Names Glancy Successor
7/16/2003 E*Trade Supermarket to Offer Cash Back
7/16/2003 Federal Judge Grants Class Action Against Morgan Stanley
7/16/2003 Fido Manager to Leave
7/15/2003 Pacific Life Puts Pimco Stake
7/15/2003 Dreyfus Parent Boosts Earnings
7/15/2003 Spina Quashes State Street Sale Talk
7/15/2003 Nuveen Ready to Do a Deal
7/15/2003 Morgan Stanley Opens Pandoras Box
7/14/2003 Galvin Accuses Morgan Stanley of Deception
7/14/2003 Julius Baer Wins ING Mandate
7/14/2003 Lehman-Neuberger Deal Near
7/14/2003 Spitzer, Galvin Target Morgan Stanley
7/11/2003 Speculation Starts on AMR Bidders
7/11/2003 Morgan Admits to SEC Probe
7/11/2003 Are Hedge Funds Safe at Any Speed?
7/11/2003 Fido Canada Names Distribution Chief
7/10/2003 Baker Bill Creates Strange Bedfellows
7/10/2003 Janus Junk Bond Manager
7/10/2003 Pru Settles SEC Probe
7/9/2003 Do Your Shareholders Use an ATM?
7/9/2003 Hancock Set to Merge Funds
7/9/2003 Eaton Vance Cuts Dividend
7/9/2003 Why All the Interest in State Street?
7/8/2003 Prudential Offers Up New Moniker
7/8/2003 Safeco Woos Advisors
7/8/2003 Schoolhouse Adds Seats for Managers
7/8/2003 Experts Provide Fund Audit Guide
7/7/2003 Overture Hires Four Sales Execs
7/7/2003 Turning X-Ray Tools Against Funds
7/7/2003 Pioneer Seeks Acquisition Targets
7/3/2003 PFPC Names Distribution Arm Chief
7/3/2003 Dreyfus Plans Value Fund
7/3/2003 Ivy Funds Reorg is Complete
7/2/2003 Merrill Wins a Court Room Trifecta
7/2/2003 AFL-CIO Would Like Proxy Vote Info Now
7/2/2003 Lehman Admits to Being Interested in Funds
7/2/2003 Putnam Shakes Up Growth Teams
7/1/2003 Firm Adds Redemption Fee to Battle Timers
7/1/2003 ABN AMRO Opens High-Yield Fund
7/1/2003 Integrity Picks Up Bond Funds ...
7/1/2003 ... After it Makes Another Equity Fund Pickup

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