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News 

Bernanke Tells FCIC: Shut Down Banks If They Threaten System
September 02, 2010 - By (AP)
Fed chief tells panel that the ‘too-big-to-fail problem must be solved.’...
CFA Institute Board Names Margaret Franklin as New Chair
September 02, 2010 - By JOYCE HANSON
CFA also taps Dan Meader as vice chair and four new governors....
RBC Index Shows Consumer Confidence Is Falling
September 02, 2010 - By DANIELLE ANDRUS
Personal financial outlook is optimistic, though....
Vanguard ETFs Top iShares in Advisor Loyalty, Cogent Research Finds
September 02, 2010 - By JANET P. LEVAUX
Study found that Vanguard ETFs capture about $5.5 million in assets per advisor vs. $5.7 million for iShares. ...
SEC Charges North Carolina BD With Anti-Money Laundering Violations
September 02, 2010 - By MELANIE WADDELL
Pinnacle Capital Markets also assessed penalty by FinCEN....
BNY Mellon Completes Acquisition of I3 Advisors, a Toronto Wealth Manager
September 02, 2010 - By MICHAEL S. FISCHER
Canada’s high-net-worth market is attracting big overseas wealth managers....
SEC Charges New Jersey Advisor With Fraud
September 02, 2010 - By MARLENE Y. SATTER
Elderly clients bilked through promises of ‘loophole’ returns....
Jobless Claims Fall Off 6,000; Factory Orders Up 0.1% on Aircraft
September 02, 2010 - By JOYCE HANSON
Continuing jobless claims also decrease ahead of Friday’s monthly U.S. jobs report....
New York Cuts College Savings 529-Plan Fees in Half
September 02, 2010 - By JOHN SULLIVAN
State works with Vanguard to reduce expenses....
SEC Warns Credit Ratings Agencies That Dodd-Frank Gives It More Powers Over Ratings Fraud
September 02, 2010 - By MELANIE WADDELL
NRSROs should implement sufficient internal controls over policies, procedures, and methodologies used to determine credit ratings....
Former Lehman Chief Fuld Blames Government for Firm’s Demise
September 02, 2010 - By JOHN SULLIVAN
‘Incorrect perception that Lehman did not have sufficient capital’ also cited....
Ernst & Young Gets Into Capital Markets Business
September 02, 2010 - By KATHLEEN M. McBRIDE
Ernst & Young Gets Into Capital Markets Business...
Leveraged and Inverse ETFs Are Short-Term Investments: SLCG Study
September 01, 2010 - By MICHAEL S. FISCHER
Investors risk serious losses for holding periods longer than a day or two....
MetLife Finds Big Life Insurance Gender Gap
September 01, 2010 - By MARLENE Y. SATTER
Women carry nearly half the coverage as men, study finds....
Cloud Computing’s Little-Known Liability Risk
September 01, 2010 - By MARLENE Y. SATTER
Some outsourced, third-party functions are overlooked....
U.S. Sales of Fixed Annuities Saw 18% Jump in Q2
September 01, 2010 - By MELANIE WADDELL
Sales in Q3 likely to increase 10% over Q2, Beacon Research predicts....
The Evolving Emerging Markets Debt Asset Class
September 01, 2010 - By J. GIBSON WATSON III
What to consider when exploring emerging markets debt....
Industry Lobbying of SEC on Fiduciary Standard to Continue
August 31, 2010 - By MELANIE WADDELL
Unclear whether SEC will seek input on study of FINRA as SRO for advisors....
Fed Minutes: Economy Operating at Lower Potential Than Previously Thought
August 31, 2010 - By JOHN SULLIVAN
In August meeting, attempts made to answer tough questions....
FINRA Alert: High-Yield Investment Programs Tied to Ponzi Schemes
August 31, 2010 - By MICHAEL S. FISCHER
Attracted by promises of high returns? Think Madoff....

Partner News
A New ETF for Emerging Markets Financial Services
September 25, 2009
For wealth managers who seek exposure to the financial sector outside of the U.S., there is a new ETF that could merit a closer look. It’s based on the Dow Jones Emerging Markets Financial Titans 30 Index. ...
Investing in Asian Debt?
September 11, 2009
Hedge fund managers who want to invest in distressed debt in Asia can get some help in the form of a new “strategic” partnership between two hedge fund service providers. ...
Standard and Poor’s MarketScope Advisor Expands Platform
August 26, 2009
A bond research portal is the newest addition to MarketScope Advisor, part of Standard and Poor’s (S&P) Equity Research services....
Good Morning Vietnam: First U.S.-Listed Vietnam ETF Launched
August 25, 2009
A new fund offered by Van Eck Global gives investors the opportunity to explore one of the world’s youngest and most dynamic economies—Vietnam—by investing in the U.S.-based ETF....
SIFMA Forecast: Rising Treasury Issuance
August 20, 2009
(SIFMA) survey projects net treasury issuance to continue to rise in the third quarter of 2009, from second-quarter levels, but it’s not projected to hit a level as high as the $527 billion seen in the third quarter of 2008. ...
More Funds and ETFS for Vanguard
August 18, 2009
Vanguard will be adding seven new bond index funds and ETFS to its range of actively managed funds. ...
Enhanced Performance Tracking
August 11, 2009
Black Diamond’s performance reporting solution will give wealth managers who are Pershing customers tools to track their clients’ investment portfolios more effectively. ...
This DAF Has Open Architecture
August 07, 2009
Schwab Charitable expands the investment choices for its donor-advised fund (DAF) accounts and adds asset allocation tools. The result: open architecture....
Build a Low Correlation Portfolio
August 06, 2009
AlphaSimplex Group’s Andrew Lo launches a multi-strategy, absolute-return fund: Natixis ASG Diversifying Strategies Fund (DSFAX)....
Putnam Proposes Major “Shareholder Friendly” Changes
August 05, 2009
: Putnam Funds proposes comprehensive changes to performance and management fees, and fund family breakpoints, pending shareholder approval later this year....



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