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FINTECH NOV 09, 2008
Crashes at clearing firms sidelined brokers in Sept.

Once again, it is about the plumbing.

MUTUAL FUNDS NOV 09, 2008
A mutual fund for turbulent times

During this period of extreme stock market volatility and credit market uncertainty, the case for a broadly diversified portfolio that avoids market valleys — and probably won't soar to market peaks, either — might be the recipe for a good night's sleep.

RIA NEWS NOV 09, 2008
IPO for company with one asset — a $ 4.6B lawsuit

In an unprecedented move that some are comparing to gambling on the legal system, a $4.6 billion lawsuit is being packaged as the sole asset of a special-purpose company that is preparing an initial public stock offering.

RIA NEWS NOV 07, 2008
Unemployment rises to 6.5%, a 14-year high

The unemployment rate shot up to 6.5% last month, marking its highest level in 14 years, according to the Department of Labor.

ETFS NOV 07, 2008
Barclays Global unveils two new ETFs

Barclays launched the iShares S&P Short Term National Municipal Bond Fund (SUB) and the iShares Barclays Agency Bond Fund (AGZ).

OPINION NOV 07, 2008
Act now on 529 plans

RIA NEWS NOV 07, 2008
Wholesale inventories down 0.1%

Wholesale inventories held by distributors fell 0.1% in September as companies reacted to the economic slowdown.

LIFE INSURANCE AND ANNUITIES NOV 07, 2008
New York Life declines Fed’s money

New York Life Insurance Co. said it won’t participate in the Department of the Treasury’s capital-purchase program.

RIA NEWS NOV 07, 2008
Advisers doubt Obama's ability to cure economy

The majority of financial advisers have little faith in President-elect Barack Obama’s ability to put the nation back on a sound economic footing.

FINTECH NOV 07, 2008
Managed-account standards attract converts; SEC completes taxonomies

UBS Financial and two units of CitiGroup Inc. adopt DTCC's standards-based managed-account system. SEC complees taxonomies for fund prospectuses.