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FSI zeroes in on state regulators

February 13, 2006

NEW YORK - Building on its success last year of meeting with NASD, the Financial Services Institute Inc. this year plans to target state securities regulators. The FSI, the Atlanta-based trade group for independent-contractor broker-dealers...

A commodity fund opens door to new investment options

February 13, 2006

NEW YORK - A new exchange-traded commodities pool has opened the floodgates to a new universe of ETF products, according to industry experts. The DB Commodity Index Tracking Fund, launched Feb. 3 and advised by New York-based DB Commodity Services...

Future tax-exempt status of 529 plans in jeopardy

February 13, 2006

NEW YORK - The 529 plan industry long has assumed that eventual congressional repeal of the 2010 sunset provision of the college savings vehicles' federal-tax-exempt status was a slam-dunk. Not so fast. The exemption from federal tax has been...

'Merrill' rule sparks software restrictions on reps

February 13, 2006

IRVINE, Calif. - Registered representatives at wirehouses face a host of procedures and restrictions in reaction to the Securities and Exchange Commission's so-called Merrill Lynch rule, which went into effect Jan. 31. Among other things, brokers...

Hedge fund industry braces for what's next

February 13, 2006

KEY BISCAYNE, Fla. - Less than a week after a rule took effect that requires hedge fund managers to register as investment advisers with the Securities and Exchange Commission, the focus already has shifted toward what might be next on the regulatory...

ICI to regulators: Focus on quality of disclosure

February 13, 2006

BOSTON - The $8.9 trillion mutual fund industry, seizing on the SEC's willingness to consider allowing investors to receive annual reports and proxy-voting materials online, will redouble efforts to relieve funds of the responsibility of mailing...

Medicaid restrictions aim to prevent abuses

February 13, 2006

WASHINGTON - A little-noticed provision in the Deficit Reduction Act, signed by President Bush on Feb. 8, will prohibit people from getting Medicaid coverage if they give money away to qualify for the coverage within five years of incurring...

Regulator, associations strike deal

February 6, 2006

OTTAWA - The saga of the $698 million collapse of Portus Alternative Asset Management Inc. has taken another twist. The Ontario Securities Commission alleges that Portus of Toronto took about $83 million of investor funds to bankroll its operations....

Tories in Canada aim to cut capital gains

February 6, 2006

OTTAWA - Prime Minister Stephen Harper won a minority government Jan. 23 partly due to a platform, called Stand Up for Canada, which included a promise to cut taxes on capital gains for individuals and companies that reinvest the money within...

Political contributions by fund industry soar

February 6, 2006

BOSTON - The mutual fund industry, led by Fidelity Investments, has finally discovered an age-old secret for making friends and influencing people in Washington: money. Facing a slew of key legislation and struggling to recover from a loss of...

NASD acts on trade shredding

February 6, 2006

NEW YORK - NASD in Washington is playing regulatory catch-up. While the Chicago Board Options Exchange, the New York Stock Exchange and the Philadelphia Stock Exchange already have moved to comply with a Securities and Exchange Commission order...

IBM pension freeze seen as 'wake-up call'

January 30, 2006

NEW YORK - Let the worrying begin. IBM Corp.'s announcement this month that it is freezing its $48 billion defined benefit pension plan set off waves of anxiety among employees at companies across the country - for good reason, pension experts...

Hedge fund industry braces for showdown

January 30, 2006

DETROIT - With the deadline requiring hedge fund managers to register as investment advisers with the Securities and Exchange Commission by Wednesday, much of the $1 trillion hedge fund industry is bracing for a showdown. In addition to the...

FPA opposes broker registration delay

January 30, 2006

WASHINGTON - The brokerage industry's efforts to delay implementation of a controversial rule requiring some brokers to register as investment advisers is meeting opposition. The Financial Planning Association on Wednesday came out against the...

NASD board election heats up

January 23, 2006

IRVINE, Calif. - A battle is brewing among competing candidates for the NASD board of governors. Candidates selected by NASD's nominating committee face a tough challenge from dissident candidates who got on to the association's ballot via a...

NASD urges summit with states, industry on annuity regulations

January 23, 2006

WASHINGTON - NASD officials are setting their sights on fixed annuities, and they want a "summit" meeting with state insurance regulators, and insurance and securities industry officials, to discuss common sales-practice rules for all annuity...

As Canadians vote, Mounties, income trusts play a role

January 23, 2006

OTTAWA - Conservative leader Stephen Harper will be anointed as the next Canadian prime minister when polls close today, according to SES Research, a Toronto polling company, and he might have the Royal Canadian Mounted Police and an insider-trading...

Raymond's indie unit seeks recruiting chief

January 23, 2006

NEW YORK - Looking for better recruiting results, Raymond James Financial Services Inc. is pushing aside its head of recruiting, William D. McGovern, a vice president, and searching for a replacement. "We're trying to bring a fresh perspective...

Designations proliferate, causing lawsuit worries

January 16, 2006

NEW YORK - Those financial planning designations just keep on coming, and investor lawsuits may not be far behind, some in the industry say. There are nearly 100 certifications or designations - and counting - being issued for various forms...

NASD fines reach record levels

January 16, 2006

NEW YORK - NASD members are paying much more in fines than ever before. The Washington-based self-regulatory organization last year collected a record amount in disciplinary fines, hitting the brokerage industry with $125.4 million for a range...

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