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REGULATION AND LEGISLATION JUN 15, 2011
Finra hires big gun to lobby for adviser SRO

Michael Oxley, the former congressman who co-wrote the Sarbanes-Oxley Act of 2002, has registered as a lobbyist for Finra to promote its campaign to become the self-regulator of investment advisers

Morningstar warns about 'gimmickry' in unconstrained bond funds
FIXED INCOME JUN 14, 2011
Morningstar warns about 'gimmickry' in unconstrained bond funds

Protection against rise in interest rates may not be enough to offset risks; 'use them peripherally'

ETFS JUN 14, 2011
130/30 ProShares ETF planned

ProShare Advisors is planning to roll out what could be the first exchange traded fund to follow a 130/30 investment strategy.

LIFE INSURANCE AND ANNUITIES JUN 10, 2011
Split AIG into two units, former chairman says

Bailed-out insurer AIG should be broken up eventually because its two main businesses have “no strategic fit between them,” according to Harvey Golub, its former chairman

RETIREMENT PLANNING JUN 07, 2011
Bite from 12(b)-1 fee reform should be 'modest' for most firms: KBW

But these three fund firms would likely take the biggest hit under current proposal

Finra's Ketchum: B-Ds must 'push and pull' for Reg D details
REGULATION AND LEGISLATION JUN 07, 2011
Finra's Ketchum: B-Ds must 'push and pull' for Reg D details

Finra wants broker-dealers that sell risky Regulation D private placements to engage in a more vigorous due diligence process, “pushing and pulling” for information about the products, according to Richard Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc.

Using psychology to combat clients' penchant for money mistakes
RIA NEWS JUN 07, 2011
Using psychology to combat clients' penchant for money mistakes

Behavioral-finance experts have come up with a few strategies for financial advisers working to help clients overcome natural human tendencies that can lead to money-related mistakes.

MUTUAL FUNDS JUN 06, 2011
'Dumb money' getting creamed exiting muni mutual funds

John Hirsch, 57, has been buying municipal bonds during the past four months, taking advantage of falling prices as muni funds are forced to sell them to cover withdrawals

RETIREMENT PLANNING JUN 06, 2011
And you think your kid's private school is expensive

Tuition at Leysin American School in the Swiss Alps is $72K a year, but at least the skiing's good

ALTERNATIVES JUN 05, 2011
Finra files a complaint against DLA

David Lerner Associates Inc. has been accused of targeting unsophisticated seniors while selling real estate investment trust shares without considering whether the illiquid securities were suitable for its clients