Friday, November 20, 2009
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Table of Contents
Issue Date: November 20, 2009


News
Warring wirehouses add fuel to hiring fire

Dodd bill would make reps fiduciaries

Is high unemployment an ugly long-term trend?

Goldman's Blankfein: Firm's wealth unit 'should be bigger'

Compliance departments on red alert for insider trading

As lending increases, M&A mutual funds heat up

Small-cap run may still have legs

Stifel CEO: Breakaway reps, often low producers, can be very profitable

Focus Financial buys firm amid restructuring

Firm to double RIA sales team

ARS battle no easy win for large investors

New York Life revamps sales team

HighTower nabs two brokers from UBS

Uri Landesman: Expects unemployment to peak by February

Tim Knepp: 'We want to be exposed to defensive consumer sectors'

Caterpillar settlement could make 401(k) advisers vulnerable to fee suits

DTCC changes address reporting for cost basis

Market timing trumps buy-and-hold amid big swings, study says

Fidelity unveils market analysis aimed at RIAs

Bill would require SEC to restrict mandatory arbitration

LPL continues to make gains in recruiting

Regulator: Life settlements industry must safeguard seniors

Coming off a high: ETF assets dip slightly, to $689B

Milliman in talks to launch guaranteed-income product for 401(k) plans

A rosy quarter for assets under management

The 50 largest diversified emerging-markets funds

New twist: Intech outflows pulling down parent Janus

Fidelity funds see monthly outflows

Special Report
3Q separately managed account rankings
Special Report
Advisers' dream: Apps that make things easier

Short Interests
Cage sues ex-manager over 'catastrophic losses'

'Roth IRA' Google hunts soar as deadline nears

Ex-Bear Stearns exec finally folds near top in World Series of Poker

Editorial
Health reform legislation portends higher inflation

Just Thinking
Time for Benmosche to pack it up and go home

Other Voices
With investment advice, one size does not fit all

Letters to the Editor
Finra's ads denigrate members of industry

Practice Management
One way to break into the 401(k) market

Marketing Strategies
Have you checked in with clients lately?

Investment Insights
In the active-passive debate, a fusion yields best results

People
People
Past Issues
November 15, 2009
November 8, 2009
November 1, 2009
October 25, 2009
October 18, 2009
October 11, 2009
October 4, 2009
September 27, 2009
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