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PRACTICE MANAGEMENT NOV 29, 2009
A New Year's resolution: Step up your rep

The most important thing for advisers to think about as we head into a new year is their reputation and image.

PRACTICE MANAGEMENT NOV 29, 2009
Ex-Wall Street brokers choose new beat: NYPD

They used to ride desks and flog stocks, but now some Wall Street refugees are choosing to walk a beat and chase bad guys.

FINTECH NOV 25, 2009
Advisers are harnessing Internet for social networking

A legion of intrepid financial advisers are twittering, linking in and in many other ways harnessing the power of the Internet to network socially in a bid to expand their practices.

FINTECH NOV 25, 2009
But I just learned HTML

What is a telltale sign that a subject has arrived?

FINTECH NOV 25, 2009
SEC proposes XBRL for mutual funds

SEC has unanimously approved a proposal that would require mutual funds to use computer tags to label key information about fees, performance and strategies.

FINTECH NOV 25, 2009
Inside XBRL

Extensible business reporting language, or XBRL, is a language standard used to communicate business and financial information electronically.

FINTECH NOV 25, 2009
XBRL plan a win-win for industry, investors

No one can accuse Christopher Cox of being a neophyte when it comes to technology.

RETIREMENT PLANNING NOV 24, 2009
Approach Roth IRA calculators with caution

Financial advisers beware: All Roth IRA conversion calculators are not created equal.

PRACTICE MANAGEMENT NOV 23, 2009
Devote time now to prepare a business plan for next year

After the turbulent year that many advisers have had, your goals should be to stay focused and keep things simple. Your business plan should include dividing clients into appropriate categories, developing a detailed communications plan with investment and lifestyle ideas, setting goals for assets under management, creating tiered service levels, and devising a top-client asset retention strategy.

PRACTICE MANAGEMENT NOV 22, 2009
Labor Department reworking investment advice rule

FINTECH NOV 20, 2009
Nasdaq OMX to offer latency measurement for trade execution

In a move likely to be replicated by most exchanges, the Nasdaq OMX Group Inc. announced this week that it will begin providing real-time latency measurement to its customers.

FINTECH NOV 19, 2009
Cabinet NG launches tools to help advisers search and locate files

Cabinet NG, a document management and workflow software maker, this week launched two new tools the company says are intended to expedite searches and better access documents in its filing system <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080219/PHOTOGALLERY/804931245/1102/INTechnologyNews03&quot;" target="&#8221;_blank&#8221;" rel="noopener noreferrer">CNG-Safe</a> (an acronym for Safe Access Filing Environment)

FINTECH NOV 19, 2009
Advent rolls out new index data service

Advent Software Inc. this week introduced an index data service that allows advisers to download index performance data from Standard &amp; Poor's and Russell Investments directly into Advent Portfolio Exchange, its integrated portfolio and client relationship management system.

FINTECH NOV 19, 2009
Lord Abbett develops new web tool for advisers

Lord Abbett &amp; Co. LLC has created a new website to provide financial advisers with direct acces to a range of information about the money management company's funds, as welll as broader financial information.

FINTECH NOV 19, 2009
Battle for breakaways goes high-tech

TD Ameritrade Institutional unveiled a tool last week that gives its business development efforts a technological boost.

PRACTICE MANAGEMENT NOV 18, 2009
88-year-old woman wins $1.1M claim against William Blair, ex-brokers

William Blair &amp; Co. LLC and two ex-brokers at the firm have been socked with a $1.1 million arbitration decision that centered on two brokers' setting up a phony e-mail address where they sent statements from the brokerage account of an 88-year-old widow.

PRACTICE MANAGEMENT NOV 17, 2009
Swiss officials ready to name names in UBS tax flap

Swiss tax authorities said Tuesday they have notified the first 500 clients of Swiss bank UBS AG whose names they want to hand over to the United States for alleged tax cheating.

PRACTICE MANAGEMENT NOV 17, 2009
Palace coup? 'Cash king' arrested, charged in alleged securities scam

State and federal prosecutors have charged seven people in an alleged securities scam that cheated dozens of people out of $17 million.

PRACTICE MANAGEMENT NOV 17, 2009
Cincinnati shuffle: Mark Man jumps from Reds to MSSB

When it comes to providing financial advice to athletes, Morgan Stanley Smith Barney is relying on a little inside baseball to gain an edge in this ultra-competitive sector of the wealth management market.

PRACTICE MANAGEMENT NOV 16, 2009
Denver duo bilked seniors in green scheme: SEC