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Investment Advisor
January 2009
Kara P. Stapleton |
B/D Briefings News & Products News, products, and information of interest to broker/dealers.   |
Wall Street & Technology
November 29, 2004
Maria Santos |
Preparing for Real Time As municipal dealers attempt to meet the Municipal Securities Rulemaking Board's December deadline, Lehman Brothers offers a model solution. |
On Wall Street
July 1, 2012
Jonathan Hemmerdinger |
MSRB Expands Label of Sophisticated Muni Bond Investor Broker-dealers will not have to make the same disclosures to wealthier, more sophisticated individual investors that they do to other investors under a revised Municipal Securities Rulemaking Board interpretative notice approved recently by the Securities and Exchange Commission. |
Financial Planning
June 1, 2008
Dakin Campbell |
UBS to Exit Muni Biz UBS confirms reports that it will exit or sell the institutional municipal securities group in an effort to focus on core client businesses after reporting first-quarter 2008 losses of $11 billion. |
Financial Planning
November 1, 2007
Matthew Posner |
The Bond Buyer The advent of municipal exchange-traded funds this fall brought to the muni market a late September launch of a service offering real-time municipal bond pricing. |
Investment Advisor
February 2010 |
Broker/Dealer News Financial Services Industry News: Info on municipal bonds, a promotion at National Financial, and a new office for Sorrento Pacific. |
Wall Street & Technology
January 20, 2008
Cory Levine |
Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification. |
Financial Planning
February 1, 2010
Donald Jay Korn |
Individual Issues With savvy strategies and new research, planners can use individual municipal bonds to provide low-risk, predictable cash flow to clients. |
Financial Planning
June 1, 2007
Lynn Hume |
The Bond Buyer The National Federation of Municipal Analysts and MuniNet have launched a new website that is designed to provide analysts and other market participants with access to municipal bond issuer websites, disclosure resources and other public finance-related information. |
Investment Advisor
November 2009
Melanie Waddell |
B/D News A new managed account program... Moves by the SEC... |
Financial Advisor
July 2004
Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
Financial Planning
December 17, 2007
Matthew Posner |
The Bond Buyer Shifts in the municipal marketplace have impacted participants in various ways, causing players to reassess their investment strategies going forward. |
CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities. |
Financial Advisor
September 2012
Maureen Nevin Duffy |
2012: Seeking Yield More investors are piling into muni bonds, but certain cities face intractable economic difficulties. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
Financial Planning
February 1, 2007
Lynn Hume |
The Bond Buyer The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year. |
Financial Advisor
February 2012
Marla Brill |
Muni Bond ETFs Join The Charge For Yields Despite some concerns, investors are being drawn to muni bond ETFs for diversification, transparency and low costs. |
Registered Rep.
January 1, 2006
Kristen French |
Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002. |
Investment Advisor
October 2009
Chris Ryon |
Not Quite So Risky Business If your clients are invested in municipal bonds, you'd better brush up on how the recession has affected the pricing of those bonds. An exploration of credit risk and pricing in the muni market. |
Finance & Development
September 2011
Rabah Arezki et al. |
Municipal Fallout U.S. state bond markets are not insulated from each other but are from the federal bond market. |
BusinessWeek
April 1, 2010
Martin Z. Braun |
Can the SEC Get Its Street Cred Back? Elaine Greenberg is investigating abuses in the muni bond market, as the commission tries to rebuild trust. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
The Motley Fool
September 19, 2007
Zoe Van Schyndel |
Muni Madness The first municipal bond ETFs are on the market. With low expense ratios, and tax-exempt interest, they represent an interesting way to invest in muni bonds. |
Financial Advisor
September 2005
Marla Brill |
The Case For Municipal Bonds Improving municipal bond yields could ease investor fear of rising interest rates. |
Registered Rep.
November 1, 2005
Lauren Barack |
Will Reform Drive Brokers From 529 Sales? Emerging from 529 college savings plan hearings is a proposal for new disclosure guidelines aimed at giving consumers more knowledge about various plan choices at the point of sale. However, these guidelines may drive reps and financial advisors out of the 529 business. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
Investment Advisor
May 1, 2011
Melanie Waddell, AdvisorOne |
Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule |
The Motley Fool
November 19, 2010
Dan Caplinger |
Has the Next Meltdown Begun? The municipal bond market is feeling the hurt. |
Investment Advisor
March 2010 |
GroupThink News from RIIA, IAA, MSRB, and the CFP Board. |
Financial Planning
April 1, 2005
Scholl & Baldt |
Municipal Mindset Beating the municipal bond market requires the skills of a sleuth. Does your manager have what it takes? |
Financial Advisor
September 2010
Riva D. Atlas |
The Muni Minefield Why a diversified portfolio of municipal bonds may be a safe place to invest despite the harsh words against them. |
Financial Planning
August 1, 2007
Matthew Posner |
The Bond Buyer The first municipal bond exchange-traded fund will be up and running by the end of this year as Barclays Global Investors iShares has filed a prospectus with the Securities and Exchange Commission outlining the new investment product. |
The Motley Fool
December 20, 2010
Russ Krull |
Muni Bond ETFs? Not So Fast An argument against municipal bond exchange-traded funds. |
Financial Planning
March 1, 2005
Bill Curran |
The Muni Market After record issuance of inflation-linked Treasury bonds and notes last year, a similar but little-known security in the tax-exempt market is poised for growth in 2005. |
Financial Planning
March 1, 2005
Abigail LaCroix |
News Digest Amex Suffers Separation Anxiety... AIG Advisor Group Consolidates and Re-brands... Revenue Sharing Boosts Fund Sales... AARP Pans Personal Retirement Accounts... Aligning Muni Rules with NASD Guidelines... etc. |
Registered Rep.
July 30, 2003
Will Leitch |
Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept. |
BusinessWeek
September 2, 2010
Richard & Preston |
Wilbur Ross: Alone in Muni Bonds Wilbur Ross has something many business owners might envy: a monopoly in muni bond insurance. The question is, how much money can he make in a shrinking business? |
The Motley Fool
September 13, 2007
Dan Caplinger |
Make a Mint With Munis With falling yields elsewhere, municipal bonds look more attractive. Traditionally difficult to buy, it is now a little easier to purchase them with a new ETF, the iShares S&P National Municipal Bond Fund. |
On Wall Street
October 1, 2010
Patrick McGee |
Goldman Sachs Taps Retail With Munis The storied Goldman Sachs has begun targeting the most mainstream investments for retail-buyers: municipal bonds. |
The Motley Fool
September 27, 2007
Amanda B. Kish |
The Best Funds From T. Rowe Price: Part 2 A closer look at these T. Rowe Price funds: T. Rowe Price Blue Chip Growth Fund... T. Rowe Price Summit Municipal Income Fund... |
Wall Street & Technology
February 4, 2005
Anthony Guerra |
Integration After decades of technology development, Wall Street firms find themselves with multiple business lines running dozens of applications that don't speak the same language. |
BusinessWeek
September 23, 2010
Levitt & Turner |
How to Clean Up the Muni Bond Market Solutions to defaulting bonds, unfunded liabilities, and fraudulent investment information. |
Financial Advisor
May 2008
Marla Brill |
Munis' Turn To Shine One of the country's most influential fixed-income managers is enthusiastic about a municipal bond market that she says is more exciting than any she has seen in her 23-year career. |
BusinessWeek
May 12, 2011
Elizabeth Ody |
While Muni Fund Investors Flee, Others Pounce Fiscal crises in states and cities have prompted big withdrawals from muni-bond funds. Investors with more risk tolerance are being lured by yields near 4 percent. |
On Wall Street
November 1, 2008
J Gibson Watson |
Opportunities Stirring in the Municipal Market For now, munis are trading at tight premiums to Treasuries -- but don't assume that means they are risk-free |
The Motley Fool
September 24, 2007
Amanda B. Kish |
Muni Bond ETFs Take Center Stage If you are looking for a cheap way to get into the municipal bond market, some of these new Muni Bond ETFs might be right for you. |
The Motley Fool
September 17, 2010
James Early |
Muni Bonds: Safe or a Sucker's Bet? Hear this view from municipal guru Tom Kozlik. |
The Motley Fool
May 20, 2008
Dan Caplinger |
The Financial Earthquake That Never Happened The recent Supreme Court decision will help keep the municipal bond market intact. |
