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FIXED INCOME APR 13, 2011
Bonds could 'get killed' in coming months, warns bank economist

Emerging-markets central banks risk triggering a “1994-style” sell-off in global bonds as soon as next year if they are still tightening monetary policy when the Federal Reserve begins raising interest rates

REGULATION AND LEGISLATION APR 12, 2011
Finra socks Southwest again

Southwest Securities Inc., which was fined this month over payments to municipal bond advisers, will pay $650,000 to resolve claims of improper short sales that caused a $6.3 million loss for the firm, according to Finra

FINTECH APR 11, 2011
TechCheck: Archiving for QuickBooks gets quicker

RIA NEWS APR 11, 2011
Top state securities cop to step down before 'the switch'

Ralph Lambiase, longtime director of securities for the state of Connecticut, will be retiring on Feb. 28. Mr. Lambiase, who has been a regulator with the state for 33 years, announced his departure earlier this month to his staff.

MUTUAL FUNDS APR 10, 2011
$52M CEO fails to stop rot at AllianceBernstein

Peter Kraus has worked for more than two years to stem client defections from investment manager AllianceBernstein LP

SEC budget woes on full display at conference
REGULATION AND LEGISLATION APR 08, 2011
SEC budget woes on full display at conference

Officials forced to go virtual rather than show up in person; plenty of glitches

FIXED INCOME APR 08, 2011
Nassim Taleb: Two lousy bets every investor should avoid

'Black Swan' author says steer clear of Treasuries, U.S. greenback; 'Euro has Germany, the dollar has nothing'

How to 'backdoor' emerging markets in 2011
EMERGING MARKETS APR 08, 2011
How to 'backdoor' emerging markets in 2011

Emerging markets remain red-hot among investors, but rather than just making a broad sector bet, advisers should look for specific and strategic exposure to these economies as a way to minimize risk and take advantage of sweet deals.

Note to self: Think before you press 'send'
FINTECH APR 07, 2011
Note to self: Think before you press 'send'

Increasingly, e-mail blunders are coming back to bite financial advisers and the firms they work for

INDEPENDENT BROKER DEALERS APR 07, 2011
Jefferies pays $2M to resolve Finra claims over brokers' disclosures

Jefferies Group Inc. (JEF) agreed to pay about $2 million to resolve Financial Industry Regulatory Authority claims that three employees failed to disclose conflicts of interest while selling auction-rate securities.