Bloomberg

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MUTUAL FUNDS NOV 02, 2008
Two community funds doing well

They aren't necessarily the first mutual funds that come to mind as a place to take cover during turbulent markets, but two funds that invest in mortgage-backed securities with an eye towards community development are doing relatively well.

REGULATION, LEGAL & COMPLIANCE NOV 02, 2008
Dismissing arbitration cases could become harder

The Securities and Exchange Commission is expected to approve a controversial rule that would make dismissing arbitration cases more difficult.

RETIREMENT PLANNING NOV 02, 2008
Advisers helping clients prioritize their finances

With the equity market wreaking havoc on retirement portfolios, advisers are helping clients reassess their priorities and determine which objectives to fund first.

RETIREMENT PLANNING NOV 02, 2008
Study poses need to protect 401(k)s from market risk

In the 12-month period through early October, 401(k) plans and individual retirement accounts dropped in value by $2 trillion due to market volatility, and a new study questions whether retirement accounts are too exposed to market risk.

RETIREMENT PLANNING NOV 02, 2008
Fund companies reach out to harried advisers

Fund companies and service providers are offering webinars, seminars and handouts to help advisers handle the onslaught of questions they're getting from 401(k) participants and employers in this volatile market.

MUTUAL FUNDS NOV 02, 2008
Foreign stocks hit with one-two punch

Advisers are struggling to deal with clients' exposure to foreign stocks.

INDEPENDENT BROKER DEALERS NOV 02, 2008
Regionals, independents see light in wirehouse gloom

Regional and independent brokers such as LPL Financial, D.A. Davidson & Co., Raymond James Financial Inc. and Stifel Financial Corp. are thriving while brawnier brokers struggle, but the firms' executives have deep concerns even as they rev up their recruiting.

FINTECH NOV 02, 2008
SEC and Finra differ from states on personal data encryption

National and state securities regulators disagree over the use of encryption in storing and communicating client information.

MUTUAL FUNDS NOV 02, 2008
To cushion tax shock, advisers urged to act

As mutual fund investors brace for a likely double whammy of negative performance, coupled with above-average income and capital gains distributions, financial advisers are homing in on all manner of tax management to try to cushion the blow and add some value in a dismal market environment.

ALTERNATIVES NOV 02, 2008
SIFMA to sue if short-sale vote wins

The Securities Industry and Financial Market Association will file a lawsuit against South Dakota if voters there approve a ballot initiative tomorrow that the group claims would effectively ban all short selling.