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Stories Published Between 7/1/2004 And 10/1/2004
9/30/2004 What Can Funds Learn From BD Marketing Strategies?
9/30/2004 529s: Worse Than Mutual Funds, Says Senator
9/30/2004 Fair Weather Friends, Those Investment Bankers
9/30/2004 Harbor Swaps Subadvisors
9/30/2004 Attention Getting, or Just Too Much Trading?
9/30/2004 Another North Carolina Bank will Woo Boston Brahmins
9/30/2004 Fido Benchmarks its 401k Business
9/29/2004 Cohen & Steers Emphasize Real Estate in Funds
9/29/2004 Fund Mini-Sweep One of 80 Underway
9/28/2004 Senators Scrutinize 529s
9/28/2004 Vanguard Unleashes More VIPERs
9/28/2004 Two at Banc One Defect to Federated
9/28/2004 Yet Another Tool for CCOs
9/28/2004 Indy Directors Group Now Online
9/28/2004 Is B for Bad? Citi Execs Decide For Themselves
9/28/2004 Timing Plagues Canada Funds: IFIC/MFDA Chief Resigns
9/28/2004 Regulators See Penalty Box for B-Ds Working
9/28/2004 Legg Mason Elects Two Directors
9/28/2004 Boston SEC Office Gets Aggressive
9/28/2004 JP Morgan Hedges its Bets with Highbridge Pickup
9/28/2004 Citi Turns to Sallie
9/28/2004 TCW Drafts New Play-Calling Chair
9/27/2004 Boston Company, JPMorgan Land Subadvisory Contracts
9/27/2004 MStar Revamps in Response to SEC
9/27/2004 Lazard Insiders Will Get a Big Pay Day
9/27/2004 What Motivates the SEC?
9/27/2004 Bogle Flip Flop Pays Big Time
9/27/2004 Is Marsico Safe From Cuts?
9/24/2004 Vanguard Reads Between the Lines
9/24/2004 USAA Enters the Ring in the Index Fund Price War
9/24/2004 Beantown Welcomes Columbia
9/24/2004 Morningstar Now Faces SEC Probe
9/23/2004 Placemark Continues to Build Out Sales Force
9/23/2004 TIAA-CREF Names New Head of Global Equity Research
9/23/2004 Putnam is Back in Action
9/23/2004 Morningstar Governance Ratings Cause Rift, but Debate Misses the Real Issue
9/22/2004 Senators Ask GAO to Investigate Fund Sales to GIs
9/22/2004 Dodge & Cox Allays Fears
9/22/2004 A One-Fund Firm Keeps on Trucking
9/22/2004 Vanguard is Hiring, a Sign of Good Times?
9/22/2004 Morningstar Evolves its Retirement Advice but is Still Doing Something Different than Fidelity
9/21/2004 ICI Calls for More 401(k) Disclosure
9/21/2004 Utah Finds Replacement for Fired 529 Director
9/21/2004 InvestorConnect Opens Second Garden State Investor Service Center
9/21/2004 Insider No Longer Chair at Hartford Funds
9/20/2004 Cohen and Steers Make a Well-Timed Bet
9/20/2004 Merrill Analyst: Fund Earnings Outlook Not as Bright
9/20/2004 Mainstay Feels its Time to be Aggressive
9/20/2004 Chamber of Commerce Makes its Next Move
9/20/2004 More Newsletters for Advisors
9/17/2004 Seen and Heard: Did Fund Companies Experience Success at the FPA?
9/17/2004 Is There Anything to the Amvescap Sale Rumors?
9/16/2004 Funds: No Longer the Life of the Party
9/16/2004 AMG Acquires Part of TimesSquare
9/16/2004 Northern Trust Nabs Pension Sales Chief
9/16/2004 Strong Managers Join Wells, No Word Yet on Strong Name
9/15/2004 Forward Marches into Alternative Investments
9/15/2004 DST Helps Funds Target Timers
9/15/2004 BoA Funds Hire CCO
9/14/2004 Are Investment Managers in the ’00s Like Oil Companies in the ’80s?
9/14/2004 Fund Group Supports Pension Proxy Disclosure
9/14/2004 AMG Takes A Bite Out Of The Big Apple
9/14/2004 Janus Unit Reports Strong Inflows
9/14/2004 Chalk one up for Ned Johnson
9/14/2004 Bisys to File Annual Report Late
9/13/2004 AMG Is Looking For a Few Good Firms
9/13/2004 Past Returns Are No Guarantee
9/13/2004 Stevens Says, We Made No Excuses
9/10/2004 Two Embark at Voyageur
9/10/2004 SEC Says No Can Do
9/10/2004 Fund Firms Try to Reach the Masses
9/10/2004 Putnam Unifies Small Cap Team Management
9/10/2004 Gabelli to Lose $810 MM Subadvisory Contract
9/10/2004 Oxley Slams Contractual Fund Sales to G.I.s
9/10/2004 Janus Hires Head of Intermediary Sales; Launches TV Campaign
9/9/2004 And Yet Another Reason to Scrutinize Fund Companies
9/9/2004 Up, Up and Away
9/9/2004 Schwab Hires New Portfolio Manager
9/9/2004 T. Rowe Board Elects One
9/9/2004 Home, Sweet, Home
9/8/2004 Hartford Investment Management Adds Two
9/8/2004 Ibbotson Appoints CIO
9/8/2004 Rydex Continues Sales, Educational Push
9/8/2004 Mellon Buys Ocean State Money Manager
9/8/2004 Getting Traction
9/7/2004 How Low Can You (Temporarily) Go?
9/7/2004 AFL-CIO Joins Proxy Watchers
9/7/2004 For Some, A World Without Mutual Funds
9/7/2004 Oak Associates Grabs the Spotlight with Signing of Noted Strategist
9/7/2004 Is the Fox Trying to Guard the Henhouse in Singapore?
9/7/2004 States Retool Direct-Sold 529s
9/7/2004 LA Times Reporters See More Thanks to Proxy Disclosures
9/3/2004 The Spitzer Four: Where Are They Now?
9/3/2004 Evergreen Equips Wholesalers
9/3/2004 Low Fees? Think Again, Says Vanguard
9/3/2004 Kelmoore Distributes Funds on OneSource
9/2/2004 Vendor Aims to Put Small Firms on Equal Footing
9/2/2004 Business Group Asks Court to Overturn Indy Director Rule
9/2/2004 Columbia Names Head of Funds
9/2/2004 Putnam Makes Rising Interest Rate Bet
9/2/2004 Banknorth Exits Fund Business
9/2/2004 Judge Denies Motion to Dismiss 12b-1 Suit
9/1/2004 Investor Slaps Suit on OppenheimerFunds
9/1/2004 More Uproar in Store for Mile High?
9/1/2004 Merrill Fund Shareholder Suit Dismissed
9/1/2004 House Asks GAO to Report on SEC
8/31/2004 Sungard Reviews InvestarONE Technology
8/31/2004 Fidelity Caps Expenses on Five Index Funds
8/31/2004 Dodge & Cox Shutters Balanced Fund
8/31/2004 American Funds to Open Service Center
8/31/2004 JP Morgan, One Group Funds Outline Merger Plans
8/31/2004 Vanguard, Putnam Are Not Easy Votes
8/31/2004 The Proxy Votes Are In
8/30/2004 More Than Meets the Eye to BlackRock-SSRM Deal
8/30/2004 Fools Rush In
8/30/2004 Third Ave Finds New CFO
8/30/2004 Execs Buy Out Real Estate Manager from Aussie Firm
8/30/2004 Finance Firms Roll Out Red Carpet for Republicans
8/27/2004 Sapio Hearing Slated for Early, Mid Sept
8/27/2004 Socially Responsible Fund Adds Retail Distribution
8/27/2004 Putnam Uses Search Firm to Find Director Nominees
8/27/2004 AMG Creates One-Stop Shop for Distribution
8/26/2004 ABN Amro? What Does That Mean?
8/26/2004 TD Buys Majority Stake in New England Bank
8/26/2004 The Price is Nice for BlackRock
8/25/2004 GOP Mission Accomplished at the ICI?
8/25/2004 SSgA CEO Dies of a Heart Attack
8/25/2004 Fred Alger Continues Its Institutional Push
8/25/2004 Low-Key Styling Litigator Is Named Deputy Counsel
8/25/2004 Rock the Vote...or Else
8/25/2004 Fund Websites Get Customized
8/25/2004 Fidelity Launches Another Advisor Mid Cap Fund
8/24/2004 Are Retail Investors Leaving Stock Funds?
8/24/2004 From Fund of Funds to Simply, a Fund
8/24/2004 The SEC Opens Up
8/24/2004 Vanguard Closes Fifth Fund in Eight Months
8/24/2004 529 Plan Assets are Booming, but Why?
8/23/2004 Back to School: With Fall Comes Focus on 529s
8/23/2004 Atlantic Trust Adds Two in Boston
8/23/2004 Delaware Names CFO
8/23/2004 Florida BD Hopes to Settle in 2004
8/23/2004 Gabelli COO Expands Role
8/20/2004 CSAM Files for Absolute Return Fund
8/20/2004 Eaton Vance Wants Options
8/19/2004 Eaton Vance Sits Pretty
8/19/2004 What is the Difference Between a Broker and an Advisor?
8/19/2004 SEC Deputy Director Departs
8/19/2004 Manager for Bill G Joins Gabelli Board
8/18/2004 American Funds Tells Brokers to Toe the Line
8/18/2004 Janus Says Goodbye to $5 bn
8/18/2004 Investors Target Fee Discrepancies in Lawsuits
8/18/2004 MetLife Reportedly to Sell State Street Research
8/17/2004 TIAA-CREF Airs First Ever National TV Ads
8/17/2004 Fido Criticizes NYSE Proposal
8/17/2004 Expect to Say Bye Bye to Directed Brokerage
8/16/2004 Constellation Shoots for the Stars
8/16/2004 UBS Files for Hedge-Like Fund
8/13/2004 Indy Research Group Makes Case for Soft Dollars
8/13/2004 Safeco Maps Out Pioneer Transition
8/13/2004 Two Month-Old Wasatch Fund Balloons to $93 mm
8/12/2004 Pioneer, Ibbotson Team for Asset Allocation Funds
8/12/2004 Artful Play by Alternative Firm
8/12/2004 Hello, Demand? Supply, Here...
8/12/2004 TAs Launch Compliance Tool
8/11/2004 Putnam Trains Focus on Advisors with Ad Campaign
8/11/2004 Utah Finds $25K More in Missing College Assets
8/11/2004 Spectrum Names Compliance Director
8/10/2004 Fido Gives Johnson Family Power
8/10/2004 DeAM Hires New Fixed Income Director
8/10/2004 Calvert Adds Share Class Guidance
8/10/2004 Pax Gives Phishing Tips
8/10/2004 Rocky Mountain State Chooses Vanguard
8/10/2004 Columbia Fund Shareholders Give Highland the Nod
8/10/2004 PFPC Adds to Sales Team
8/9/2004 Alliance Parent Reports Earnings
8/9/2004 SSRM Plans Energy Fund
8/9/2004 Watson Wyatt Adds 10 Investment Consulting Staff
8/9/2004 Ex-Putnam Manager Rejoins Firm
8/6/2004 Munder Reorgs C-Level Suite
8/6/2004 Delaware Fixed Income Team Gets New Co-Head
8/6/2004 Morningstar to Evergreen: What Are You Hiding?
8/6/2004 Legg Mason Says Woops: Q2 Net Flows Off by $2.5 Bil
8/5/2004 SEC Releases Five-Year Strategic Plan
8/5/2004 Oppenheimer Hands Docs Over
8/5/2004 TA Startups Target Fund Heavyweights
8/5/2004 Small Cap Fund Does Not Make the Cut
8/5/2004 Will the NASD Go Lightly on Piper Jaffray?
8/5/2004 Gates Gives Gabelli Another Year
8/4/2004 ICON Targets Institutional Biz with Sales Hire
8/4/2004 DC Lobbyists Attack!
8/3/2004 Will a Rydex-Merrill Combo Result in a High IQ?
8/3/2004 Pioneer to Pick up 22 Funds from Safeco Sale
8/3/2004 Georgeson Acquires Alamo for $22.5 Mil
8/3/2004 Fidelity Intros New Advisor Fund
8/2/2004 High-Flying Calamos Files for IPO
8/2/2004 Former MLIM Managers Take Charge of Delaware Fund
8/2/2004 Morgan Stanley and Washington State Make Amends
8/2/2004 Aquila Brings Fund Manager In House
8/2/2004 Constellation Nabs $36 Mil Fund
7/30/2004 Investors Sue AMEX Financial Advisors
7/30/2004 Soderberg Leaves Janus with $1.5 Milion in Hand
7/30/2004 Value Line Plans Small Cap Fund Launch
7/30/2004 Gabelli Misses Earnings; No Word Yet on Gates Deal
7/29/2004 Fund Attorneys Join US Bancorp
7/29/2004 Schwab to Shutter 53 Branches
7/28/2004 Indy Fund Director Group Makes Recs to SEC
7/28/2004 Boston Fund Firms on High Alert for Convention
7/28/2004 Fidelity Swaps Managers
7/28/2004 Analysts Question Putnam Game Plan
7/28/2004 Alliance Earnings Fall Short
7/28/2004 Van Kampen: Times Are a Changing
7/28/2004 AMG Beats Estimates by Two Pennies
7/27/2004 ING to Combine High Yield Funds
7/27/2004 GAO Reports on SEC Budget
7/27/2004 Delaware Names New Head of Munis
7/27/2004 DST Lands 5.5 Million Fund Shareholder Accounts
7/27/2004 T. Rowe: Record Earnings Short of Expectations
7/27/2004 Federated Meets Earnings Estimates
7/26/2004 Shareholder Advocate Fund Firm Shuts its Doors
7/26/2004 Golden Oak Goes to Goldman
7/26/2004 Toughest Compliance Tasks For Fund Firms
7/26/2004 SEC Vet Joins Janus
7/23/2004 Pru Managed Account Pro Finds New Home
7/23/2004 BlackRock Earnings Do Not Disappoint
7/23/2004 SEC IDs Those Behind 9/11 Trades
7/23/2004 NYLIM Recruits Three Regional Wholesalers
7/23/2004 Schwab Denies Biz is for Sale
7/23/2004 Janus Bares All in Earnings Call
7/22/2004 Turner Looks to Fill Analyst Vacancy
7/22/2004 PowerShares Files for 20 More Broker-Sold ETFs
7/22/2004 ICON Creates Internal Wholesaler Team
7/22/2004 Franklin Earnings Not Up to Snuff
7/22/2004 Janus Meets Earnings Expectations
7/21/2004 Rydex Hires Intermediary Head
7/21/2004 RIA Counsel Gives Pointers on Adviser Ethics
7/21/2004 Regs Give SEI Tag Team Treatment
7/21/2004 Putnam Acquires a Majority Stake in PanAgora
7/20/2004 Funds Not Just for Moms and Pops
7/20/2004 OppenheimerFunds Shuffles Top Investment Positions
7/20/2004 USAA Swaps Subadvisors
7/20/2004 Nuveen Reports EPS Two Cents Less Than Expected
7/20/2004 Legg Mason Misses Earnings
7/20/2004 Schwab Board Fires CEO Pottruck
7/19/2004 Former PFPC Exec Takes Distribution Job at Armada Funds
7/19/2004 Thrivent Hires Two Subadvisors As it Rebrands
7/16/2004 Midwest Bank Goes Shopping for Asset Manager
7/16/2004 Armada Takes on Riverfront Funds
7/16/2004 Does Gabelli Do Windows? Mario and Bill G in Talks
7/16/2004 Riggs - PNC Deal is No News for Funds
7/16/2004 US Global Goes Global
7/15/2004 Solly Manager Leaves for Greener Pastures
7/15/2004 Pioneer Manager Says Adieu
7/15/2004 State Street Research Promotes Two in Retail Sales
7/14/2004 ICI Indy Directors Extend a Hand to Media
7/14/2004 SAM Looks Out for the Little Guy
7/14/2004 Pioneer Intros Short Term Income Fund
7/14/2004 Ibbotson Inks Deal for S&P Fund Data
7/14/2004 Rydex Lassos Former Columbia Marketing Exec
7/14/2004 Fremont Pulls Trigger on Sale
7/13/2004 MLIM Exec Denies Sale of Unit
7/13/2004 Fidelity Loses Top Spot in Manager Rankings
7/13/2004 Haaga: Shoulda, Woulda, Coulda
7/13/2004 Hearing Officer in Pru Refuses to Recuse
7/12/2004 Broker-Sold ETFs on the Horizon
7/12/2004 Genworth Hopes to Ace with Ad Campaign
7/12/2004 Compliance Watchers Have New Tool
7/12/2004 Director Dismissed After Dipping into 529 Funds
7/9/2004 What is Primecap Thinking?
7/9/2004 Goldman Cases Consolidated
7/9/2004 MFS Hires Consultants to Make Good with Investors
7/9/2004 Colorado Narrows 529 Provider Hunt
7/8/2004 SSgA Acquires Two ETFs
7/8/2004 Citizens Hires Large-Cap Manager
7/8/2004 ICON Taps SEC Examiner for CCO
7/8/2004 Gabelli Wants to Know its ABC Fund Shareholders Better
7/8/2004 Putnam Gets Back in the Saddle with New Fund
7/8/2004 Haldeman Steps Out of Investments at Putnam
7/8/2004 Partisan Cracks Deepen at the SEC
7/7/2004 Nationwide Names Distribution Heads
7/7/2004 Can AMEX Convince Someone to Take the Leap?
7/7/2004 JPMorgan-Bank One Combo Set Sights High
7/7/2004 New Amsterdam Lands Portion of Calvert Fund Assets
7/6/2004 Putnam Creates RetirementReady Funds
7/6/2004 Victory Gives Asset Management Side a Little Breathing Room
7/6/2004 Fremont Lets Subadvisor Go
7/6/2004 Fido Looks Abroad for Third Real Estate Fund
7/6/2004 Consumer, Leisure Portfolios Get New Managers
7/2/2004 New Fund is Bullish on Energy
7/2/2004 AIMR Swaps Name
7/2/2004 Fidelity VP Takes Off
7/2/2004 SEC in Turf Battle with NY Judge
7/2/2004 Reserve Hiring Wholesalers to Meet Demand
7/1/2004 Judge Approves IDC-Heartland Settlement
7/1/2004 SEC Turns Critical Eye Inward
7/1/2004 Federated Makes Fund Transfer Agency Switch
7/1/2004 Janus Names Worldwide Fund Manager
7/1/2004 Milwaukee Firm Reorgs Fund
7/1/2004 State Street Head Honcho Retires

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