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Stories Published Between 4/1/2004 And 7/1/2004
6/30/2004 SEC Investigates Guaranteed NYLIM Fund
6/30/2004 Janus: Wholesaler Hiring Up Ahead
6/30/2004 Delaware Ends Subadvisory Contract
6/30/2004 Illinois Looks for 529 Provider
6/30/2004 New Funds Mix Two Hot Flavors Together
6/30/2004 American AAdvantage Spins Props on Two New Funds
6/30/2004 TIAA-CREF Launches Branding Offensive
6/30/2004 T. Rowe Price Decides There is No Place Like Home
6/30/2004 ABN AMRO Opens Shop in India
6/30/2004 Janus Sells High-Net Worth Biz
6/29/2004 Fido Closes Mid-Cap Fund, New Fund to Follow
6/29/2004 Fred Alger Hires BNY Analyst
6/29/2004 American Funds: Too Popular for Their Own Good?
6/29/2004 Integrity Hires Regional Marketers
6/29/2004 AIM Founder Leaves Behind Legacy of Growth, Philanthropy
6/28/2004 ICI Spawns Compliance Committee
6/28/2004 Pennsylvania Asset Manager Names New PM
6/28/2004 Regulators Back at CSFB
6/28/2004 Fidelity Debuts Advisor-Only Bond Fund
6/28/2004 Eaton Vance, Nuveen Launch Bank-Loan Funds
6/28/2004 Head of Florida BD Calls It Quits
6/28/2004 Fidelity Ends Some Soft Dollars Use
6/28/2004 Pax Under Attack
6/25/2004 Execs Stand Up to Compensation Disclosure
6/25/2004 Provider of Advisor Data Takes On the Blue Book
6/25/2004 SEC Commissioners Try the Back Door
6/25/2004 Hartford Closes Three Funds to New Investors
6/25/2004 Is it Time to Get Close and Personal with the SEC?
6/25/2004 Delaware Hires Muni Expert
6/24/2004 Fidelity Readying to Disclose Soft Dollars
6/24/2004 NASD Fines Five B-Ds for Allowing Late Fund Trades
6/24/2004 US Indexers Finding Favor with Asian Investors
6/24/2004 SEC Director Updates SIA on Soft Dollar Task Force
6/24/2004 SEC Alleges Egregious Misuse By RIA
6/23/2004 Intermediaries Express Themselves
6/23/2004 Supporters Line Up to Cheer SEC Rule
6/23/2004 Indy Chair Vote Drives Wedge Through SEC
6/23/2004 John Hancock Funds Beats SEC to the Punch
6/22/2004 Touchstone Taps Subadvisor for New Micro Fund
6/22/2004 JPMorgan Fleming Lands a Managers Funds Contract
6/22/2004 New Market Doubles Assets
6/22/2004 The Hartford Touts Investment Expertise
6/22/2004 SEC Vote on Indy Chairs is No Secret
6/21/2004 By Accident or Design, Wachovia Picks Up $2 Billion More of Fund Assets
6/21/2004 Vanguard Bulks Up Investor Tools
6/21/2004 SEC Steps Up to the Plate
6/21/2004 Bank One Managers Say Hello to the Big Apple
6/21/2004 Janus Shifts Compensation Strategy
6/18/2004 Lipper Refines International Fund Classification
6/18/2004 Rydex Looks to Add ETF Product Specialist
6/18/2004 Analyst Becomes Manager at American Century
6/18/2004 Morgan Stanley Sales Incentive Are Red Meat to NH Regulators
6/17/2004 Genworth Appoints Three to Board
6/17/2004 Dreyfus Roars Back in 12b-1 Case
6/17/2004 Hedge Fund Org Shoots Back at ICI Prez
6/17/2004 Vanguard Struggles to Reach Dueling Goals
6/16/2004 Janus Sells Last of DST Stake
6/16/2004 NASD Bans Pru Broker Involved in Fund Scandal
6/16/2004 New Tool Spotlights Managers for Advisors
6/16/2004 529 Plan Selling Rules May Be Amended
6/16/2004 Directors, Trustees and Third Parties Watch Out
6/16/2004 The White House Likes Funds
6/16/2004 Bill Banning Soft Dollars Introduced in the House
6/16/2004 Living Ex-SEC Chairmen Unite Behind Independent Chair Rule
6/15/2004 Fido Tells Intermediaries to Get Onboard
6/15/2004 New ICI Prez Calls for Added Hedge Fund Oversight
6/15/2004 Another Fund Recommender Joins the Game
6/15/2004 Fed Approves JPMorgan Chase and Bank One Union
6/15/2004 Fido Switches Fund Lineup
6/14/2004 One Commissioner Has Her Doubts
6/14/2004 Ohio Fund Firm Hires in Sunshine State
6/14/2004 BISYS Adds to Outsourced Compliance Team
6/14/2004 Ameritrade Continues ETF Push
6/14/2004 Funds Not Treating One Congressman Well
6/10/2004 iShares at it Again
6/10/2004 Fidelity Tops Website Rankings
6/10/2004 One Group Fund Brand Still Undecided
6/10/2004 Transamerica Boots Janus, Renames Funds
6/9/2004 Market-Timing Firms May Settle Soon
6/9/2004 Regulators Examine Variable Products
6/9/2004 AXA on the Acquisition Trail
6/9/2004 Janus Combats Out Flows
6/8/2004 New Gunslinger in Northeast SEC Office
6/8/2004 Fund Firms Scramble to Cement Friday Plans
6/8/2004 Pioneer to Discuss Market, Funds
6/8/2004 Fund Pubs Go On the Auction Block
6/8/2004 SEC Postpones Meeting
6/8/2004 Institutional Manager Signs with Check-Free
6/8/2004 Northern Trust Lands Julius Baer
6/7/2004 Geeks Under Fire
6/7/2004 E*Trade Slashes Index Fund Fees
6/7/2004 NewRiver Rolls Out Advisor Tool
6/7/2004 Eaton Vance Buys Piece of Deutsche Bank Private Wealth
6/7/2004 Oppenheimer Director Moves to Houston Advisor
6/4/2004 ICI Prez Will Address Press
6/4/2004 TIAA-CREF Debuts Lifecycle Funds
6/4/2004 Wirehouse Worries
6/4/2004 Milberg Slaps Suit on Citibank
6/4/2004 Whither NAV Transfers?
6/3/2004 Putnam Distribution Arm Faces Reorg
6/3/2004 No More Room at Fido Fund
6/3/2004 Waddell Reed Finds CFO
6/3/2004 Merrill May Sell Stake in MLIM
6/3/2004 SEC Considers Advisory Contract Disclosure
6/2/2004 OppenheimerFunds Finds Leader for Growth Team
6/2/2004 TIAA-CREF Lays Down the Law
6/2/2004 SEC Proposes Bank Regulations
6/2/2004 State Street Lands Another
6/2/2004 Gabelli Ups Micro Fund Minimum
6/2/2004 ICI GMM: Eyes on the Prizes
6/2/2004 Planners Want Better Technology
6/1/2004 FleetBoston Fund Managers Say Adieu
6/1/2004 NASD Fines Davenport, Investigation Continues
6/1/2004 Promotion Time for a Fund Probe Leader?
6/1/2004 Putnam Launches Money Fund
6/1/2004 GE Financial Rebrands, IPOs
6/1/2004 Stevens Takes Helm at ICI
5/28/2004 Putnam on Prowl for New Director
5/28/2004 Consultant Joins Putnam Lovell
5/28/2004 Lagging Performance in Magellan Costs Fidelity
5/28/2004 Oxley Urges SEC to Adopt Independent Chair
5/28/2004 Vanguard Makes Moves with Fund Policies
5/27/2004 Putnam Reveals Problems in Money Fund
5/27/2004 Wells Fargo Outlines Strong Plans
5/27/2004 NASD Appoints 20 Industry Execs to Task Force
5/27/2004 New SEC Rules Target Breakpoints, Ethics
5/27/2004 In Flows Slow in April
5/27/2004 Hancock Funds Finds CEO
5/26/2004 From One Chairman to Another . . .
5/26/2004 Touchstone Seeking Wholesalers
5/26/2004 Alger Hires Institutional Sales Head
5/25/2004 ICI Tradition Comes to an End
5/25/2004 WSJ Attacks Morgan Stanley Index Fund for Lagging Index
5/25/2004 Schwab, Fido Split in Reaction to Selected Funds Move
5/25/2004 Fund Execs Debate Compensation at ICI
5/24/2004 The Affluent Want More, Survey Reveals
5/24/2004 Guardian Promotes Two Salesmen
5/24/2004 ManuLife 529 Plan Rebrands
5/24/2004 Marketing Head Jumps Ship from Columbia
5/24/2004 Franklin Closes Two Funds
5/24/2004 Price for Strong Still Falling
5/21/2004 Redefining Independent Directors
5/21/2004 Equity Funds Bleed for a Third Week
5/21/2004 Denver Advisor Firms Merge
5/20/2004 Loomis Sayles to Sub-advise Three Managers Funds
5/19/2004 ICI Pres Elect Addresses Membership
5/19/2004 DTCC Centralizes Securities Data
5/19/2004 A Matter of Trust
5/19/2004 Harbor Capital Hires CIO
5/18/2004 State of the Investment Advisory Profession
5/18/2004 Janus CEO Gets Options
5/17/2004 Vanguard Closes Third Fund This Year
5/17/2004 New Fund Head at BISYS Research Group
5/14/2004 Independent Directors Get a Room of Their Own
5/14/2004 State Street Takes Over Admin of ABN AMRO Funds
5/14/2004 Janus President Elected to Board
5/13/2004 Fund Assets May Have Hit Bull Market High
5/13/2004 SEC Economist Exposes 12b-1 Fees
5/13/2004 Ibbotson Provides Marketing for Rydex
5/13/2004 ICI Hires Head Counsel
5/13/2004 Fidelity Mulls More ETFs
5/12/2004 NASD Chief Calls for Fund Task Force
5/11/2004 Rydex Awards Industry Innovators
5/11/2004 Former Strong Team Needs a Hand
5/11/2004 Nations Awards Subadvisor Contract for Nearly $500 Million
5/10/2004 Three Managers Jump from Strong
5/10/2004 Bogle Foresees Hedge Fund Problems
5/7/2004 Nuveen to Investors: Stay Calm
5/7/2004 ICI VP Jumps Ship
5/7/2004 Manning & Napier Sticks With Outsourcer
5/7/2004 Regulators Highlight Repo Rules for Funds
5/7/2004 Eaton Vance Fills Board Vacancy
5/6/2004 Morningstar IPO is On Again
5/6/2004 Spitzer Deputy Warns More to Come
5/6/2004 Cali Court Tosses UILIC Suit Against W&R
5/6/2004 Putnam Loses Mandates from Great-West
5/5/2004 Cost of Scandal Fix Will Sting, Promise Analysts
5/5/2004 Integrity Funds Sees Small, But Growing Bottom Line
5/5/2004 Delaware Lops Off UK Investment Arm
5/4/2004 Invesco Chief Steps Down
5/4/2004 Counsel Opening at T. Rowe Price
5/4/2004 NYAG, SEC Target Inviva Affiliate for Market Timing
5/4/2004 Peoples Benefit Names to VA Mandate Winners
5/4/2004 Putnam Reduces 529 Plan Charges
5/3/2004 Insurer Provides Advice Tool
5/3/2004 ING Pitches Fund to Worried Investors
5/3/2004 Integrity Bolsters Fund Lineup
5/3/2004 Burnham Taps Subadvisor for Financials Fund
5/3/2004 Fund Appeals to Patriotism
4/30/2004 Vanguard Intros 401k Managed Account
4/30/2004 Voyageur Rebrands
4/30/2004 Morningstar Sends Open Letter to Wanger
4/29/2004 MFS Regaining Balance
4/29/2004 Board Pay is Up as Directors Log More Hours
4/29/2004 Janus CEO Sets Example With Pay
4/28/2004 March ETF Assets
4/28/2004 Spring Cleaning at Morgan Stanley
4/28/2004 Probe Hits Home Across the Puddle
4/27/2004 T. Rowe Beats Earnings Estimates
4/27/2004 AMVESCAP Earnings Disappoint the Street
4/27/2004 GIS Ties to Fund Data
4/27/2004 T. Rowe Revises Redemption Policies
4/27/2004 Bond Firm Fills Head Research Post
4/27/2004 Delaware Shifts Muni Management
4/27/2004 Gabelli Beats Estimates by a Penny
4/26/2004 American Funds Leads Inflows...Again
4/26/2004 Fund Charity Gains Sponsor
4/26/2004 Two Portfolio Experts Join Jensen
4/26/2004 Beantown No Longer King of the Fund Hill
4/26/2004 BofA Fund Group Struggles for Identity
4/23/2004 Fidelity Plans Office Openings
4/23/2004 SEI Offers Tools to Fund Boards
4/22/2004 MLIM CIO Takes Over Fund
4/22/2004 Franklin Reports Earnings
4/22/2004 Closed Ender Taps State Street for Back Office
4/22/2004 DTCC Implements Breakpoint Changes
4/22/2004 SEC on New Rules Road Show
4/21/2004 Putnam Parent Reports Earnings
4/21/2004 ICI Rep Testifies on Securities Markets
4/21/2004 AMG Adds Board Member
4/21/2004 AIM Changes Up Fund Management
4/20/2004 Federated Earnings Less Than Expected
4/20/2004 Nuveen Reports Strong Sales
4/20/2004 Aquila Funds Names New Trustee
4/19/2004 Global Asset Head Leaves UBS
4/19/2004 Vanguard Continues Down Multimanager Path
4/19/2004 PIMCO Fights Back with Redemption Fee
4/16/2004 Bond Fund Specialist Names CEO
4/16/2004 NYLIM Names New Head
4/16/2004 Arnott and AMG Butt Heads
4/15/2004 Hedge Fund Financier Faces Two Class Actions
4/15/2004 Pioneer Hiring Creates COO Opening at AdvisorCentral
4/15/2004 USA Today Puts Putnam Culture In Its Spotlight
4/14/2004 Trusco Outsources Fund Support
4/14/2004 American Funds Steals Crown from Fido
4/14/2004 PIMCO Exec Calls It Quits
4/14/2004 SEC Adopts First Fund Reform Rule
4/13/2004 Columbia Updates Newport Tiger Prospectus
4/13/2004 Is Interest in Strong Fizzling?
4/13/2004 SEC Mulls Over POS Disclosure Regs
4/12/2004 AUM Down at Alliance
4/12/2004 NY Brokerage Incented Sale of Own Funds
4/12/2004 BofA Revises Ethics
4/12/2004 Mellon Acquires Safeco Trust
4/8/2004 Janus' CEO Gets $3.3 Million Bonus
4/8/2004 T. Rowe: Adds Independent Director, Earnings Up 80%
4/7/2004 Senate Hears SEC Chairman
4/7/2004 New COO at SSgA
4/6/2004 Hotchkis Ends B-Class Shares
4/6/2004 Lord Abbett Hires Client Manager
4/5/2004 New Janus Ads Tout Performance
4/5/2004 Parnassus Goes No-Load
4/5/2004 BISYS Hires for Distribution Group
4/2/2004 STI Classic Closes Funds
4/2/2004 What Does an IPO Cost?
4/2/2004 Front Running, Parking, Pump Priming
4/2/2004 Fido Offers Emerging Market Advisor Fund
4/1/2004 Senate Considers Soft Dollar Handoff to SEC
4/1/2004 Software Supplier to Offer ASP

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