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The power of a business plan
Most financial advisers know that having a business plan would help them stay on target and increase their…
Subprime bailout is not the answer
The federal government should step in to bail out homeowners who are in danger of losing their homes…
Legacy Financial closes shop
Brokers run afoul NEW YORK — Another independent broker-dealer has shut its doors, months after one…
Morningstar rating systems questioned
The era of investors paying a “full load” to buy Class A shares of mutual funds is over.
These are the times that try advisers’ goals
These are the times that test the mettle of financial planners and investment advisers. They are also…
Share buybacks worth scrutinizing
Investors, beware. Although you may like the flow of cash you are receiving as companies increase their…
Bernanke unlikely to bail out lenders
Federal Reserve Board Chairman Ben S. Bernanke is facing his greatest crisis since taking over from Alan Greenspan.
Fidelity’s succession issues puzzle pros
What’s with Fidelity? Is it too big to be managed by any one person? Or is Edward C.
A possible wallop for master limited partnerships
Washington tax talk these days seems focused on hedge funds, their investors and their managers.
Past bubbles offer lessons for advisers
The deflation of the housing and mortgage bubble should reinforce several lessons for investors and their advisers.
Choose in shareholders’ favor, Mr. Cox
To paraphrase Harry Truman: What this country needs is a good one-handed Securities and Exchange Commission chairman.
Solving the SEC net-worth ‘puzzlement’
“Is a puzzlement,” the king of Siam said to Anna in “The King and I.” He might…
Procedures for selecting and monitoring QDIAs
Second of two parts Part one (InvestmentNews, June 4) introduced the provisions for the new qualified default…
SEC must tread carefully with 12(b)-1s
As the Securities and Exchange Commission considers what changes, if any, should be made to the rule allowing…
Reining in inflation fears is key
Federal Reserve Board Chairman Ben Bernanke, in a speech in Cambridge, Mass., last week, said that as…
The magic of exchange-traded notes: Tax deferral
Exchange-traded notes are the newest wrinkle from Barclays, the main sponsor of exchange-traded funds.
It’s clearly time to tackle the AMT
Now that the Senate has disposed of the immigration reform bill, perhaps it and the House of Representatives can turn their attention to a matter at least as serious: reform or repeal of the alternative minimum tax — preferably repeal.
More fund companies to offer 130/30s
Tough to explain PHILADELPHIA — More mutual fund companies soon will offer individual investors access to…
Investment banks need better oversight
The Supreme Court, in effect, has challenged the Securities and Exchange Commission to do a better job of…
Cost-basis-reporting plan needs support
Congress is asking for input on a proposal to require brokers and mutual funds to report the cost…
