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Registered Rep. November 24, 2015 Debbie Carlson	Is There a Liquidity Risk in Liquid Alts? Alternative mutual funds are a fast-growing part of the investment space, pushed by asset management companies that are suffering from the larger secular shift away from active and higher-priced management toward index funds.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
Financial Advisor June 2008 Marla Brill	The New ETF Frontier This spring, after over seven years of SEC evaluation and paper shuffling, a handful of actively managed ETFs finally debuted.
Registered Rep. November 1, 2004 Nicholas Tsafos	The Liquidity Fetish Since retail investors have been following institutions in seeking alternative investments, particularly hedge funds, it is important to understand how illiquidity can affect clients' hedge fund investments.
Financial Advisor April 2010 Marla Brill	A Good Complement More advisors think both bond mutual funds and ETFs belong in client portfolios.
Financial Advisor August 2007 Marla Brill	Hedging Your Bets A growing group of market-neutral mutual funds have distilled the essence of hedge fund investing into a more regulated, liquid and accessible format.
Financial Advisor July 2011 Michelle Knight	Rethinking Bond ETFs Most investors buy bond ETFs at a premium and sell at a discount, a dynamic that is an undeniable black mark on fixed-income ETFs.
Financial Advisor November 2003 Alan Lavine	Alternate Ways To Hedge Portfolios Should you put your well-heeled clients into unregistered or registered hedge funds? Or is it better to select a mutual fund that uses hedge-fund tactics and is managed by a registered investment company?
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 July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
FDIC FYI May 19, 2004	Effects of Interest Rates on Money Market Mutual Funds The prolonged low interest rate environment has pressured returns on money market mutual funds (MMMFs). Although low rates are a boon to borrowers, the opposite, of course, is true for savers.
The Motley Fool September 11, 2006 Zoe Van Schyndel	Hedge Fund Wannabes If you have champagne tastes but a beer budget, hybrid mutual funds can represent a practical way to get hedge-fund-like exposure. Templeton Global Long-Short... Diamond Hill Focus Long/Short... Hussman Strategic Growth...
On Wall Street October 1, 2008 Donna Mitchell	Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words.
Financial Advisor May 2005 Karen DeMasters	Substituting For Stable Value Funds Despite the popularity that stable value funds have enjoyed in the last few years, as part of a diversified portfolio for individuals' retirement accounts, the unique funds have fallen by the wayside in recent months as financial advisors search for alternative investments for their clients.
Registered Rep. February 1, 2011 Stephen Roseman	Hedge Fund Myths Mean Missed Opportunities Misperceptions about what hedge funds do need to be set straight. Individuals won't be able to make educated investment decisions about them unless they understand what they are -- and are not.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
On Wall Street May 1, 2013 Cumming & Horwitz	SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says.
Registered Rep. November 6, 2014 David Armstrong	Drowning in Liquid Alts Liquid alternative funds, which seek to replicate hedge fund strategies in registered mutual fund structures, should play a substantial role in most client portfolios.
Financial Advisor January 2006 Evan Simonoff	The Return Of Activist Investing Franklin-Templeton's Mutual Recovery fund is a hedge fund alternative. The fund focuses on three investment strategies: risk arbitrage, distressed securities and special situations., according to manager Mike Embler.
Investment Advisor June 2009 Vaughan Scully	ETF Advisor: ETFs for Cash Over the past year, ETFs holding money market securities -- Treasury, municipal, and corporate bonds that mature in less than a year -- have sprung up to give investors a "cash-equivalent" ETF option.
The Motley Fool December 4, 2006 Dan Caplinger	10 Trillion Reasons to Invest Mutual funds keep raking in the money.
Financial Planning July 1, 2009 Donald Jay Korn	Down But Not Out For mutual funds, 2008 was the year of the ebb tide: Long-term funds saw net outflows of $226 billion. The carnage continued in the first quarter of 2009, when an additional $43 billion flowed out of equity funds.
Financial Advisor February 2, 2009 Alan Lavine	Distressed Assets Gone Wild There are several ways for financial advisors to get in on the distressed asset action by investing in private equity, in hedge funds, or in mutual funds that invest in distressed bonds and stocks.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
On Wall Street January 1, 2009 J Gibson Watson	International Investing Offers Opportunities An SEC rule in October opened the floodgates for American Depository Receipts -- what does that mean for you and your clients?
The Motley Fool October 2, 2008 Alex Dumortier	Mark-to-Market Accounting: What You Should Know How does it work, and why is Congress pushing to suspend it?
BusinessWeek October 22, 2007 Goldstein & Henry	Bear Bets Wrong Two Bear Stearns hedge funds soared by specializing in exotic securities and unorthodox practices. Then they imploded and helped set off a global credit market meltdown.
Registered Rep. April 6, 2011 Diana Britton	Do-It-Yourself Advisors Launch Alternative Funds As assets continue to flow to alternatives in the wake of the financial crisis of 2008 and 2009, many advisors are launching their own alternatives strategies to meet that demand.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
Registered Rep. January 2, 2014 Stan Luxenberg	The Case for Mutual Funds Proponents of ETFs often argue that traditional mutual funds are obsolete -- black-and-white TVs in an age of streaming video. But the advantages of the ETF structure are limited, and they are eroded by the costs of trading.
Financial Advisor October 2006	Advisor Emporium Auto-Execution Trading Operation Set... Company Formed To Value Illiquid Assets... New Fund Targets Inflation's Effects... High-Earner Disability Insurance Offered... etc.
Investment Advisor May 2010 Robert F. Keane	30 for 30 Interviews: John Bogle Vanguard founder John C. Bogle comments on how the mutual fund business has changed over thirty years.
The Motley Fool October 16, 2008 Zoe Van Schyndel	The Risky Business of Securities Lending Is your mutual fund betting with your money?
Registered Rep. June 15, 2009 Kristen French	Hedge Funds Bruised, But New Retail Products Abound So far this year, investors and advisors seem to have put the brakes on new hedge fund investments.
The Motley Fool September 12, 2008 Dan Caplinger	Don't Lose Everything for an Extra 1% Sometimes apparent advantages don't work out the way you expect -- as investors in some supposedly safe bond mutual funds have found out in recent months.
Investment Advisor November 2005 Melanie Waddell	The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working?
Registered Rep. June 2, 2004 Will Leitch	SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.
Financial Advisor August 2009 Marla Brill	Playing It Safe Consistency and a remarkable lack of surprises have been the hallmarks of this bond fund.
Registered Rep. December 11, 2008	SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings.
AskMen.com Luis Rodrigues	Mutual funds With interest rates remaining as low as they are, more and more people are looking towards the stock market to earn a higher return on their money investing.
On Wall Street July 1, 2011 Carl Resnick	Like A Stock, But Different Advisors looking for cost-effective options for building diversified portfolios are continuing to turn to exchange-traded funds.
Investment Advisor November 2006 Kathleen M. McBride	Catching up with... Tom Ricketts Once, if an advisor wanted corporate bonds for a client there were three choices: buying them directly; in a unit trust; or a mutual fund. Is there an easier, more elegant way to invest in corporate fixed-income?
Registered Rep. June 3, 2009 David Geracioti	ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors.
The Motley Fool February 18, 2009 Dan Caplinger	An Investment for All Markets Wouldn't you like to find some way to have the protection that bonds have provided throughout the bear market while still retaining some of the upside of stocks? Convertible securities offer the best of both worlds.
Financial Advisor June 2005 Darwin K. Abrahamson	Avoiding Redemption Fees In 401(k) Plans Since it's indisputable that redemption fees are becoming entrenched within mutual funds at an accelerated pace, an obvious solution to avoiding redemption fees altogether is to invest in exchange-traded funds (ETFs).
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: Raising the Bar An interview with Morningstar's Don Phillips, president of fund research, about the renewed importance of research in investing.
Investment Advisor August 2007 Kathleen M. McBride	Subprime As the implosion of subprime mortgages and junk bonds causes uncertainty throughout the markets, advisors and broker/dealer executives may want to think about what's in their clients' portfolios.
Financial Planning October 1, 2010 Donald Jay Korn	A Bigger Slice Of all the challenges that the fund industry has faced and still faces, a stagnant stock market may be the most serious.