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With Jeffrey J. Diermeier of the CFA Institute

November 28, 2005

In the 11-plus months since Jeffrey J. Diermeier became president and CEO, the CFA Institute has raised its profile as a force for corporate accountability. In recent years, the Charlottesville, Va.-based group's predecessor, the Association...

Pru may be poised to make acquisitions

November 21, 2005

NEW YORK - Prudential Financial Inc. may be assembling a war chest in anticipation of making one or more major acquisitions, according to life insurance industry analysts. "Prudential must be thinking about a deal - they have to be out there...

VA guarantees generate new sales and new problems

October 31, 2005

NEW YORK - Using living benefit guarantees wisely, ensuring compliance with suitability requirements and countering negative publicity are among the key concerns of people in the variable annuity industry. Those topics reverberated throughout...

Schwab battles for wirehouse assets

October 17, 2005

IRVINE, Calif. - Charles Schwab & Co. Inc. is taking on the wirehouses. Executives who run San Francisco-based Schwab Institutional, the unit that keeps custody of assets for independent advisers, made that point clear last month in Seattle...

UBS shakes up retail management

September 19, 2005

IRVINE, Calif. - UBS Financial Services Inc. is eliminating one of its three retail divisions and pushing aside two longtime divisional managers in what appears to be the first major action by Marten Hoekstra, head of the New York-based firm's...

Investment plans surge at Wachovia; some see loophole

September 19, 2005

SAN FRANCISCO - Wachovia Securities LLC ratcheted up its output of Envision investment plans big-time in August, the same month TV commercials for the program began pelting viewers of the U.S. Open tennis tournament. The Richmond, Va.-based...

Cerulli: Shift to income focus will take much time

September 12, 2005

CHICAGO - The shift by some financial services companies to focus on offering retirement income solutions is a gradual process, which is all the more reason to start the transition as soon as possible, according to an upcoming report by Cerulli...

Investors drive the Wal-Marting of Wall Street

September 12, 2005

NEW YORK - The NYSE is dead. Long live the NYSE. The same can be said for The Nasdaq Stock Market Inc., the American Stock Exchange and the Philadelphia Stock Exchange, the derivatives exchanges - such as the Chicago Mercantile Exchange and...

Credit Suisse rebuilds its high-yield team

September 12, 2005

NEW YORK - Five months after losing seven people from its high-yield fixed-income team to HSBC Halbis Partners, Credit Suisse Asset Management LLC has assembled a new group of portfolio managers and analysts to manage the strategy. Martha Metcalf,...

SSgA eyes nine new funds, ETF wraps in catch-up bid

August 29, 2005

NEW YORK - State Street Global Advisors Inc. of Boston is launching a fresh challenge to Barclays Global Investors for leadership in exchange traded funds. It filed papers with the Securities and Exchange Commission on Aug. 15 for nine ETFs...

Vanguard, old foe of brokers, wants them to sell its ETFs

August 29, 2005

BOSTON - The company that long has warned investors about the high costs of investing through full-service brokers now is looking to bolster sales of its exchange traded funds by cultivating those brokers. But it faces an uphill battle. Since...

Merrill reps won't miss Gorman

August 22, 2005

IRVINE, Calif. - When Morgan Stanley of New York announced Aug. 16 that James Gorman was coming over from Merrill Lynch & Co. Inc. to run its retail business, the Street was generally positive. "If you had your choice, he's the guy you'd want...

Merrill exit program: Four years of trails

August 22, 2005

IRVINE, Calif. - Merrill Lynch & Co. Inc. next January will be rolling out a plan to let brokers earn an income for four years after they retire. Merrill reps were given a heads-up on the plan, called the Client Transition Program, this month...

Bond managers adopting absolute-return strategies

August 22, 2005

SAN FRANCISCO - Move over, traditional fixed income. Absolute-return strategies have arrived. A growing number of "best ideas" strategies - designed to pick up alpha, or excess return, from a variety of sources while benchmarked against a cash...

Philly exchange could be new rival for the NYSE

August 22, 2005

NEW YORK - While all eyes are watching The Nasdaq Stock Market Inc. to see if it can make a dent in the New York Stock Exchange's long-standing 80% market share in listed stock trading, the Philadelphia Stock Exchange could be the one to do...

Merrill settles lawsuit over error policy, overtime

August 15, 2005

IRVINE, Calif. - Merrill Lynch & Co. Inc. of New York has settled a class action that challenged the firm's policies of forcing brokers to pay for trading errors and sales assistants, and of not paying brokers overtime. The suit, which was filed...

Broker-Dealers: Brokers must come to terms with the changing business

August 8, 2005

IRVINE, Calif. - Traditional brokerage firms are having a midlife crisis. They're attempting to create a "wealth management" approach built around fee-based business in the hopes of capturing more assets from wealthy investors. They'll have...

Firms are moving away from fee-based accounts

August 8, 2005

IRVINE, Calif. - Brokerage firms are de-emphasizing fee-based brokerage accounts as a result of the regulatory spotlight aimed at the programs. In some cases, broker-dealers are developing advisory accounts to take the place of the fee-based...

CFA demand dips among private-wealth managers

July 11, 2005

SAN FRANCISCO - The trend toward greater use of the chartered financial analyst designation by managers of private wealth has hit a wall and receded, according to latest information made available by the CFA Institute. The incidence of members...

Wirehouse-to-indie route taken by just 1% to 1.5%

June 27, 2005

NEW YORK - Executives from independent-contractor broker-dealers love to crow about the high-volume registered representatives they lure from wirehouses. But only 1% to 1.5% of wirehouse reps leave for independent broker-dealers in a given year,...

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