There’s another way to protect small investor
Re: "New SEC rule seen as likely to deter market timing" [Oct. 22], as a mutual fund investor for the past 40-plus years we truly believe any rule deterring market timing for the small investor is a gross disservice.
At the bell
The Managed Fund Association of Washington plans to release a new set of "sound practices" for hedge fund managers today.
On being a leader and a fiduciary
When preparing to depart from a meeting or other encounter with a senior officer, it is a still-practiced naval tradition for junior officers to make the request, "By your leave, sir/madam."
Information under management – the new AUM
There was a time when success in the financial services industry was measured solely by assets under management. While that is still a good benchmark, it isn't the only thing advisers are keeping an eye on.
Bill would shift burden, complicate taxes
Rep. Charles B. Rangel's Tax Reduction and Reform Act of 2007 is misnamed. It should be called the Tax Reallocation and Complication Act of 2007 or perhaps the Accountants and Financial Planners Full Employment Act of 2007.
What’s missing from your bagua?
Donald Trump is a believer. So, too, is Richard Branson, founder of London-based Virgin Atlantic Airways Ltd., as well as many executives of the world's largest corporations.
Fight Michigan’s service tax on investment advice
I have to admit that I do enjoy a good fight — not a punch-in-the-face fight but a solid, take-no-prisoners verbal battle. That is why I am closely watching the fight in Michigan over the new 6% service tax on investment advice, which was also imposed on about 20 other unrelated services.
Fund uses various methods to generate returns
The subadvisory team behind the $65 million Dunham Large Cap Growth Fund (DCLGX) cites a bottom-up strategy in describing how the portfolio is managed.
FINRA panels violate a founding principle
I write in reply to Dan Jamieson's Oct. 22 story "Industry arbitrators: We're the good guys".