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RETIREMENT LIFE INSURANCE AND ANNUITIES JUN 25, 2007
SEC eyes VA funds of funds

The SEC is looking at possible problems involving revenue sharing payments made by funds of funds.

RETIREMENT TAX JUN 25, 2007
IRA wrinkle in tax law a boon to charities

IRA investors have given at least $75 million to charitable organizations through June 4 as a result of a provision in the Pension Protection Act of 2006 that allows distributions from the qualified plans to be rolled over to a charity tax free.

NEWS WIREHOUSES JUN 25, 2007
Schwab, in about-face, is back with tech partner

In an about-face, Schwab Institutional has reconciled with a former technology partner in an effort to upgrade its customer relationship management tool for financial advisers.

INVESTING MUTUAL FUNDS JUN 25, 2007
More fund companies to offer 130/30s

More mutual fund companies soon will offer individual investors access to a strategy that is popular among institutional investors who are trying to outperform a benchmark.

RETIREMENT LIFE INSURANCE AND ANNUITIES JUN 25, 2007
VAs trail funds in sales growth at the banks

Bank sales of variable annuities that invest in mutual funds continue to grow but are outpaced consistently by those of mutual funds. That’s a function of periodic adverse publicity combined with compliance hassles, observers say.

NEWS WIREHOUSES JUN 25, 2007
Brookstreet scion joins Wedbush

In an attempt to save a semblance of his family’s broker-dealer, Scott Brooks, scion of the founder of Brookstreet Securities Corp., last Thursday jumped to Wedbush Morgan Securities Inc. and then immediately invited Brookstreet’s 500 affiliated representatives to join him.

INVESTING ALTERNATIVES JUN 25, 2007
Hedge funds embracing social mandate

The ever-increasing focus on social and environmental causes is attracting a segment of the hedge fund industry to a movement that is considered by some to be the ultimate test of socially conscious investing.

NEWS INDUSTRY NEWS JUN 25, 2007
Think entertainment when picking summer stocks

WASHINGTON — Summer is about beaches, barbecues and long rounds of golf. But even sun lovers must come indoors eventually, and one fund manager is betting that many will be spending the hazy days of summer in front of their Nintendo Wiis and Sony PlayStation 3s.

NEWS BROKER DEALERS JUN 25, 2007
Banned brokers fly under radar screen

In a comfortable Colonial-era tavern in Rhode Island last Tuesday, David L. Ullom dished out generous portions of retirement advice — along with a free meal of chicken, mashed potatoes and summer squash.

NEWS INDUSTRY NEWS JUN 25, 2007
Suit threatens tax incentives for 529 plans

The college savings plan industry is closely tracking a class action filed in Illinois last month that could help open the legal floodgates for states that use tax incentives to induce residents to invest in their own Section 529 programs.