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NEWS OPINION JAN 28, 2008
It's time for greedy CEOs to do time

Gregory Reyes is the first chief executive to be sentenced to prison and socked with a huge fine for improperly back-dating stock options.

NEWS OPINION JAN 22, 2008

NEWS OPINION JAN 21, 2008
Advisers need an SRO of their own

Reluctant as we are to call for the establishment of another self-regulatory organization, we have concluded it is the best structure for the regulation of the investment advisory industry.

INVESTING MUTUAL FUNDS JAN 14, 2008
It's time to take action on 12(b)-1 fees

This is the year for the SEC to settle the 12(b)-1 issue. Securities and Exchange Commission Chairman Christopher Cox has pledged to examine the fee system, questioning whether the use of 12(b)-1 fees has moved away from the original intent, which was to cover marketing and distribution expenses.

YOUR PRACTICE FINTECH JAN 14, 2008
How to make referrals more meaningful

NEWS OPINION JAN 07, 2008
Change principal-trade rule with caution

The Securities and Exchange Commission must carefully monitor its temporary proposed principal-trade rule, which took effect Sept. 30.

People
NEWS INDUSTRY NEWS JAN 07, 2008
People

Curian Capital LLC, a Denver-based provider of separately managed account platforms, has promoted Greg Verfaillie to senior vice president and national sales manager.

INVESTING MUTUAL FUNDS JAN 07, 2008
Going small is fund's secret to finding hidden gems

The basic premise behind the management of the Managers AMG Essex Small/Microcap Growth Fund (MBRSX) is finding good companies that few other analysts have yet to identify as prospects.

INVESTING MUTUAL FUNDS JAN 07, 2008

NEWS OPINION JAN 07, 2008
Economy, investors brace for a bumpy ride

The first day of trading in the new year should have served as a warning to investors that 2008 will likely be a tough year for the economy and for investors.