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Site Map for November 2009
Date
Title
Nov 30, 2009
Stock futures point to modest decline
Nov 30, 2009
Stocks end higher on the day -- and the month
Nov 30, 2009
Interviewing in the Recruiting Game is like Dating
Nov 30, 2009
Marathon wraps up initial close on public-private fund
Nov 30, 2009
Fidelity markets new tools guiding brokers to 'independence'
Nov 30, 2009
Fidelity funds see outflows for the first time in six months
Nov 30, 2009
Gold keeps on surging, hits new high of $1,118
Nov 30, 2009
Raymond James' stock buyback plans on hold
Nov 30, 2009
Fed again pledges to hold rates at record-lows
Nov 30, 2009
Raymond James hikes minimums for new RIAS
Nov 30, 2009
Thomas Samuelson: Investors must think outside the box
Nov 30, 2009
Raymond James ups the ante for RIAs, raises asset requirements
Nov 30, 2009
When it comes to layoffs, small RIAs feel worst pain
Nov 29, 2009
Swiss Re issues $150M cat bond for natural disasters
Nov 29, 2009
Tax wrinkle is annuity/LTC wild card
Nov 29, 2009
DC plan participants need credible advice, and quickly
Nov 29, 2009
A New Year's resolution: Step up your rep
Nov 29, 2009
Review of mutual fund advisory fees is long overdue
Nov 29, 2009
Ex-Wall Street brokers choose new beat: NYPD
Nov 29, 2009
Two items to add to Jan. 4 to-do list
Nov 29, 2009
Startup bets its strategy can top S&P 500 by 12 points
Nov 29, 2009
Wal-Mart a smart shopper for target date funds
Nov 29, 2009
As it sues Pac Life, LPL moves to reassure its reps
Nov 27, 2009
BNP Paribas sees greater cost savings from Fortis buy
Nov 27, 2009
Black Friday: Consumers returning to retail this year
Nov 25, 2009
Thomson Reuters to offer company events data in real time
Nov 25, 2009
Stocks rise following drop in jobless claims
Nov 25, 2009
Durable goods orders fall an unexpected 0.6% in October
Nov 25, 2009
Weekly jobless claims drop below 500,000
Nov 25, 2009
Consumer spending up a stronger-than-expected 0.7%
Nov 25, 2009
Six-month Treasury rates hit record low
Nov 25, 2009
Money funds caught between staying safe and staying around
Nov 25, 2009
Advisers are harnessing Internet for social networking
Nov 25, 2009
MBIA reinsures troubled competitor's portfolio
Nov 25, 2009
But I just learned HTML
Nov 25, 2009
SEC proposes XBRL for mutual funds
Nov 25, 2009
SEC orders use of XBRL for corporate filings
Nov 25, 2009
Inside XBRL
Nov 25, 2009
MBIA chief mulls business split
Nov 25, 2009
FGIC plans new bond insurer
Nov 25, 2009
XBRL plan a win-win for industry, investors
Nov 24, 2009
What do you get when you cross a therapist with a financial planner?
Nov 24, 2009
Stock futures boosted by Bank of America's TARP pay plan
Nov 24, 2009
FundQuest adds Fidelity VA to platform
Nov 24, 2009
Stocks slide on news of slow economic growth
Nov 24, 2009
Futures little changed ahead of opening
Nov 24, 2009
Stock futures point to higher opening
Nov 24, 2009
Broker wrong to cover client flights, meals, 'gentleman's club' visits, regulators say
Nov 24, 2009
Prudential may pursue deal for ING's U.S. retirement business: Analyst
Nov 24, 2009
Skewed IRA, 401(k) data present window for advisers
Nov 24, 2009
UBS ex-client avoids prison for tax evasion
Nov 24, 2009
Clock is ticking for more foreign account holders to seek amnesty
Nov 24, 2009
Approach Roth IRA calculators with caution
Nov 24, 2009
Helping clients tap retirement savings
Nov 23, 2009
S&P 500 on the cusp of its first down decade
Nov 23, 2009
Devote time now to prepare a business plan for next year
Nov 23, 2009
Dollar down, stock futures up
Nov 23, 2009
Ex-Wall Street brokers choose new beat: NYPD
Nov 23, 2009
Sales of fixed annuities trail off in the third quarter
Nov 23, 2009
Good news on the housing front sends stocks higher
Nov 23, 2009
World markets rally, but gold hits record high
Nov 23, 2009
In B-D deals, it's impossible to know what lies beneath
Nov 23, 2009
Pacific Life takes a punch at LPL over potentially millions in lawsuits
Nov 23, 2009
Congress to tackle rule on retirement advice
Nov 23, 2009
State regulators pursue increased oversight of advisers
Nov 23, 2009
AIG agrees to sell Hong Kong consumer finance unit to the China Construction Bank
Nov 23, 2009
Ex-Goldman adviser banned in Hong Kong
Nov 23, 2009
Ex-GunnAllen, Ameriprise broker could serve 23 years in prison
Nov 22, 2009
Congress may yank advice provision from pension bill
Nov 22, 2009
LPL suit: Pac Life ducking liability for rogue brokers
Nov 22, 2009
Insurance agents to Dodd: Don't force us to take on RIA role
Nov 22, 2009
Time for a year-end IRA checkup
Nov 22, 2009
SEC: Con artists bilked seniors in biotech scam
Nov 22, 2009
National Planning grabs 65 reps and $750M from Main Street
Nov 22, 2009
New York Life on the prowl to buy mutual fund companies
Nov 22, 2009
Congress needs to avoid a dangerous juggling act
Nov 22, 2009
John Fox: Oversimplifying the fixed-income portion of a client's portfolio is a mistake
Nov 22, 2009
Bonuses down for 2009 despite market jump
Nov 22, 2009
Labor Department reworking investment advice rule
Nov 20, 2009
Boehner blasts decision to kill investment advice rule
Nov 20, 2009
Dell, dollar weigh on stocks
Nov 20, 2009
Nasdaq OMX to offer latency measurement for trade execution
Nov 20, 2009
Bruce Bond's email on his reduced role at Powershares
Nov 20, 2009
Labor Department kills Bush investment-advice rule
Nov 20, 2009
Stronger dollar triggers stock market sell-off
Nov 20, 2009
Milliman in talks to launch guaranteed-income product for 401(k) plans
Nov 20, 2009
Hewitt: Advisers making inroads in 401(k) market
Nov 20, 2009
Conseco raising capital; Paulson & Co. takes stake in insurer
Nov 20, 2009
Conseco plans to combine Conseco Health Insurance, Conseco Insurance units
Nov 20, 2009
California reaches settlement with former Conseco unit on handling of LTC claims
Nov 20, 2009
SIFMA: Surprise audits could carry a $200K price tag
Nov 20, 2009
SEC's pop-quiz proposal provokes adviser opposition
Nov 20, 2009
Ex-Smith Barney adviser hit with lawsuit, restraining order
Nov 19, 2009
Sun Life president Boscia to oversee Asia, U.K. operations
Nov 19, 2009
Futures point to slightly lower market opening
Nov 19, 2009
Cabinet NG launches tools to help advisers search and locate files
Nov 19, 2009
New jobless benefit claims unchanged at 505K
Nov 19, 2009
Stock futures point to a lower opening
Nov 19, 2009
Lord Abbett develops new web tool for advisers
Nov 19, 2009
Advent rolls out new index data service
Nov 19, 2009
New York Life on the prowl to buy mutual fund companies
Nov 19, 2009
Weak dollar a mixed blessing and an opportunity
Nov 19, 2009
Krawcheck unveils her new management team at BofA
Nov 19, 2009
Schwab sees a surge this year in breakaway brokers
Nov 19, 2009
Battle for breakaways goes high-tech
Nov 19, 2009
Bill would give indie advisers sole right to offer 401(k) advice
Nov 19, 2009
Bill would allow independent advisers to counsel 401(k) recipients
Nov 18, 2009
Financial adviser admits to $9M sham that funded his gambling and international travel
Nov 18, 2009
Two investment shops promising 1000% returns ordered to stop sales
Nov 18, 2009
Stocks are modestly lower in early trading
Nov 18, 2009
Stock futures point to modestly higher opening
Nov 18, 2009
Mortgage delinquencies hit record – again
Nov 18, 2009
Labor Department cracking down on broker-driven rollovers
Nov 18, 2009
88-year-old woman wins $1.1M claim against William Blair, ex-brokers
Nov 18, 2009
Coming off a high: ETF assets dip slightly, to $689B
Nov 18, 2009
Phoenix moves to shore up risk-based capital ratio
Nov 18, 2009
Van Eck Global launches second global ETF
Nov 18, 2009
ETF providers to focus on better education for financial advisers
Nov 18, 2009
Lower capital requirements for RMBS would mean more flexibility for insurers, Moody's says
Nov 18, 2009
STOLI by the book
Nov 18, 2009
Merrill Lynch to cough up $8.5M to Florida over auction-rate securities
Nov 18, 2009
Kansas to receive $5M from auction rate securities settlements
Nov 18, 2009
Schwab defies New York AG on buying back auction rate securities
Nov 18, 2009
TD Ameritrade settles ARS charges with SEC; Schwab denies charges of misrepresentation
Nov 17, 2009
Swiss officials ready to name names in UBS tax flap
Nov 17, 2009
Palace coup? 'Cash king' arrested, charged in alleged securities scam
Nov 17, 2009
Finra to shell out $1M on lobbying efforts
Nov 17, 2009
Stock market dips on manufacturing numbers
Nov 17, 2009
Obama administration targeting financial fraud
Nov 17, 2009
Dems, Republicans at odds over BofA, Merrill Lynch deal
Nov 17, 2009
Securities America program aims to groom million-dollar producers
Nov 17, 2009
Pimco jumps into actively managed ETF biz
Nov 17, 2009
Regulator: Life settlements industry must safeguard seniors
Nov 17, 2009
ING's Uri Landesman: predicts unemployment will peak by February
Nov 17, 2009
Cincinnati shuffle: Mark Man jumps from Reds to MSSB
Nov 17, 2009
Groups cheer push to contain Finra's reach
Nov 17, 2009
Bright spots aside, housing recovery is a long way off
Nov 17, 2009
September pending home sales rise 6.1 percent
Nov 17, 2009
UBS wealth management unit loses assets and advisers but still turns a 3Q profit
Nov 17, 2009
New home sales fall a surprising 3.6 percent
Nov 17, 2009
Home prices rise in most major cities in August
Nov 17, 2009
Aviva USA has eye on guarantee wrapper with a managed account or 401(k), new CEO states
Nov 17, 2009
7,500 tax dodgers apply for IRS amnesty program
Nov 17, 2009
Wall Street icon Bruce Wasserstein hospitalized
Nov 17, 2009
Bid to regulate financial planning industry will soon run into opposition, leaders predict
Nov 17, 2009
New Calif. law discourages stranger-originated life insurance transactions
Nov 17, 2009
Still suffering from downturn, life settlements activity stagnant
Nov 17, 2009
IRS to offshore tax cheats: You have three more weeks to 'fess up
Nov 17, 2009
U.S., Swiss agree to settle on major points in UBS tax evasion case
Nov 17, 2009
Court overturns rule to treat equity index annuities as securities
Nov 16, 2009
401(k) holders made out OK, says Fidelity
Nov 16, 2009
Money managers join the fight against increased Finra oversight
Nov 16, 2009
Retail sales rise 1.4% in October
Nov 16, 2009
Denver duo bilked seniors in green scheme: SEC
Nov 16, 2009
National Planning takes on 65 reps and $750M from Main Street
Nov 16, 2009
Gannett Welsh's Fox: Don't oversimplify the fixed-income portion of a client's portfolio
Nov 16, 2009
Stocks jump as retail sales rebound in October
Nov 16, 2009
Watch Out for the Recruiting "Hard Close" at the end of the year!
Nov 16, 2009
Labor Department delays investment advice rule
Nov 15, 2009
MSCI to buy RiskMetrics for about $1.55B
Nov 15, 2009
Another black eye for BlackBerry? Updates pegged as likely cause of latest e-mail outages
Nov 15, 2009
Business continuity zapped by subpar remote access; carbon trading in the U.S. a lot of hot air?
Nov 15, 2009
Hamilton Software offers early retirement planner
Nov 15, 2009
Nicolas Cage slapped with suit from former money manager
Nov 15, 2009
A rosy quarter for assets under management
Nov 15, 2009
LPL continues to make gains in recruiting
Nov 15, 2009
Health reform legislation portends higher inflation
Nov 15, 2009
Bill would require SEC to restrict mandatory arbitration
Nov 15, 2009
Firm to double RIA sales team
Nov 15, 2009
Uri Landesman: Expects unemployment to peak by February
Nov 15, 2009
Tim Knepp: 'We want to be exposed to defensive consumer sectors'
Nov 15, 2009
New York Life revamps sales team
Nov 13, 2009
Legal expenses piling up at Morgan Keegan
Nov 13, 2009
U.S. Bank slapped with suit over $30M in investment losses
Nov 13, 2009
Earnings reports push stocks higher after slide
Nov 13, 2009
Bull Path's Kaimowitz: Valuations will get squeezed
Nov 13, 2009
Survey: Women prepare kids for college, but leave the financial planning to others
Nov 13, 2009
Stocks rise Friday on retailers' earnings news; Dow up 2.5% for the week
Nov 13, 2009
Sales of NY Life policies grow at record pace
Nov 13, 2009
Ala. county sues JP Morgan over debt deals
Nov 13, 2009
Wolters Kluwer rolls out compliance network
Nov 13, 2009
Fidelity rolls out investment program aimed at RIAs
Nov 12, 2009
Higher oil prices seen threatening global recovery
Nov 12, 2009
E-mail archiving and backup: Symantec updates versions of its Vault and Backup products
Nov 12, 2009
DTCC changes reporting system to help with cost-basis-reporting requirement
Nov 12, 2009
The Merrill Lynch Footprint
Nov 12, 2009
Stocks rise on news of improving job market
Nov 12, 2009
Jobless claims fall more than expected to 502K
Nov 12, 2009
Caterpillar settlement could make 401(k) advisers vulnerable to lawsuits over fees
Nov 12, 2009
Markets drop on reports of reduction in oil and gas consumption
Nov 12, 2009
Money fund assets fell to $3.335T in latest week
Nov 12, 2009
John Hancock arms reps with succession planning tool
Nov 12, 2009
Federal deficit sets October record of $176.4B
Nov 11, 2009
Investment oversight has kept insurers strong, regulator says
Nov 11, 2009
National Planning Corp. to pay $3.9M to Mass. investors
Nov 11, 2009
Advisers should use ethics to 'hedge risk and make money'
Nov 11, 2009
Stocks open higher as dollar continues slide
Nov 11, 2009
Genworth's Tim Knepp: 'We want to be exposed to defensive consumer sectors'
Nov 11, 2009
Trio who promised 500% returns grilled in federal court
Nov 11, 2009
Senate moving to allow SEC to rule on mandatory arbitration
Nov 10, 2009
Google searches for 'Roth 2010 conversion' triples over past 10 months
Nov 10, 2009
Stocks mostly fall as the dollar's slide eases
Nov 10, 2009
HighTower nabs a UBS broker team
Nov 10, 2009
SEC funding shift in Senate's draft financial fix
Nov 10, 2009
John Hancock Funds to double sales team targeting RIAs
Nov 10, 2009
Market timing trumps buy-and-hold strategies during market swings, says NYU study
Nov 10, 2009
Insurance regulator: Life settlements industry must protect seniors
Nov 10, 2009
With an eye on advisers, NY Life overhauls sales strategy
Nov 10, 2009
Former Wal-Mart CEO joins P/E firm Solamere
Nov 09, 2009
Growth Problems
Nov 09, 2009
Stocks hit new 2009 highs on growing confidence in global recovery
Nov 09, 2009
Compliance searches up 20% this year, says headhunter
Nov 09, 2009
Milliman looking to partner on guaranteed income product for 401(k) plans
Nov 09, 2009
Wells Fargo's Ann Miletti: 'The days of 20% or 30% annual returns are not going to be possible'
Nov 08, 2009
Ameriprise, hot off a hiring frenzy, rebuilds recruiting staff
Nov 08, 2009
A financial transactions tax would bite investors
Nov 08, 2009
Penson Worldwide to buy Broadridge clearing business
Nov 08, 2009
Surprisingly, the party's like the last
Nov 08, 2009
Managers anticipating huge demand
Nov 08, 2009
Global economies still rise and fall together
Nov 08, 2009
Investors' pain has become attorneys' gain
Nov 08, 2009
People
Nov 08, 2009
Guided investing draining mutual funds
Nov 08, 2009
B-Ds seek money for lending
Nov 08, 2009
Advisers: SEC, not courts, should set standards for mutual fund fees
Nov 08, 2009
Ex-PaineWebber chief Don Marron snares ING B-Ds
Nov 08, 2009
Rollover firm on a roll
Nov 08, 2009
Cleo Chang: Finding opportunity in volatility
Nov 08, 2009
Advisers clock more hours online since downturn
Nov 08, 2009
After sales drought, Phoenix creates its own distributor
Nov 08, 2009
Advisers discount CIT's troubles
Nov 08, 2009
New version of planning software from Cheshire jumps into market
Nov 08, 2009
Tyler Dann: Why health care sector is rife with opportunity
Nov 08, 2009
Mixed signals on commercial property
Nov 08, 2009
Smaller players foundering in target date fund market
Nov 06, 2009
State Street to buy Italian bank's securities services biz for $1.87B
Nov 06, 2009
Investors add to week's gains despite lousy jobs report
Nov 06, 2009
Fortress Investment posts wider 3rd-qtr loss
Nov 06, 2009
Obama: Government working to restore economy
Nov 06, 2009
Allegiant ordered to pay $157K to former broker in case of forged Finra letter
Nov 06, 2009
AIG posts 2nd consecutive quarterly profit
Nov 06, 2009
Self-service account aggregation from CashEdge; Financial application for the Droid
Nov 06, 2009
Stocks rise despite poor jobs report
Nov 06, 2009
70% of stock funds hiked costs between November and June, Lipper says
Nov 06, 2009
Obama signs $24B stimulus bill
Nov 06, 2009
Shared-trust fund offers easy way to roll up smaller accounts
Nov 06, 2009
Ex-Bear Stearns hedge fund managers never lied to clients, defense argues
Nov 06, 2009
Jobless rate tops 10% for first time since '83
Nov 06, 2009
Focus Financial secures new capital, readies for fresh acquisitions
Nov 06, 2009
Blackstone Group posts narrower 3rd-quarter loss
Nov 06, 2009
Oil drops below $78 a barrel as U.S. unemployment rises
Nov 05, 2009
Long-time Principal exec to retire
Nov 05, 2009
New jobless claims drop to 512K, lowest in 10 months
Nov 05, 2009
Bonuses could jump 40% on Wall Street
Nov 05, 2009
Stocks jump as jobs, productivity data boost mood
Nov 05, 2009
Life insurance industry: Investor Protection Act still needs work
Nov 05, 2009
Legislation that would shield advisers from lawsuits in the works
Nov 04, 2009
SEC reviewing director election process, Schapiro says
Nov 04, 2009
RBC ups minimum for commission discounts
Nov 04, 2009
ETF providers to focus on better educating advisers in coming year
Nov 04, 2009
Lessons Big Firms Can Learn from Small Firms
Nov 04, 2009
New version of Cheshire financial planning software hits market
Nov 04, 2009
Hartford narrows 3Q loss, posts strong core profit
Nov 04, 2009
House panel votes to give SEC more money, power
Nov 04, 2009
Wilshire's Cleo Chang: Finding opportunity in volatility
Nov 04, 2009
Stocks higher as investors await Fed decision
Nov 04, 2009
Allianz to stop selling its stand-alone LTC product
Nov 03, 2009
Mutual fund fee fight should be settled by judges: Supreme Court
Nov 03, 2009
MoneyGuidePro Version 2.2 now available
Nov 03, 2009
Broadridge to sell clearing business to Penson (Update)
Nov 03, 2009
Challenged to place its products, Phoenix creates own distributor
Nov 03, 2009
Stocks pull off lows as commodity prices rise
Nov 02, 2009
BrightScope launches target date benchmark tool
Nov 02, 2009
Trifecta: 3 strong economic reports lift hopes for recovery
Nov 02, 2009
Will CIT bankruptcy hinder the retail sector?
Nov 02, 2009
Stocks waver, Dow gives up more than 100 points
Nov 02, 2009
Schwab to waive commissions on its own ETFs
Nov 02, 2009
Broadridge to sell clearing business to Penson
Nov 02, 2009
Ameriprise, hot off a hiring frenzy, guts recruiting staff
Nov 02, 2009
Investors' pain has become attorneys' gain
Nov 02, 2009
Broker pleads guilty in hedge fund fraud
Nov 01, 2009
State regulators want inquiry into "inherently conflicted' SROs
Nov 01, 2009
Forecasting Finra's future
Nov 01, 2009
Tools and strategies for small accounts
Nov 01, 2009
Insurer CEOs discuss how industry has dealt with crisis
Nov 01, 2009
Comedian isn't laughing
Nov 01, 2009
'Pay czar' compensation model is a good start
Nov 01, 2009
From 'Eight' to Series 7
Nov 01, 2009
Touchstone on prowl for fund adoptions
Nov 01, 2009
Harvest losses without hurting alpha
Nov 01, 2009
Jefferies keeps on rolling out commodity ETFs
Nov 01, 2009
Amended bill targets pre-sale disclosure rules
Nov 01, 2009
U.S. Trust loses $450M duo to RBC
Nov 01, 2009
SEC may raise RIA threshold to $100M
Nov 01, 2009
Heavy cost cutting brightens outlook for many U.S. stocks
Nov 01, 2009
Is the bloom off the rose for American Funds?
Nov 01, 2009
Advisers, public fear possibility of wider reach for Finra
Nov 01, 2009
Nov 01, 2009
Legislation causes boom in health care tech market
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