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Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Current Bank & Financial Articles

The Motley Fool July 2, 2009 Rick Aristotle Munarriz	E*TRADE Makes a Good Trade The discount broker is ready to swap its debt for convertible zero coupon debt.
The Motley Fool July 2, 2009 Alex Dumortier	As Card Losses Hit Record Levels, Banks Hit Back Expect future losses to exceed initial estimates.
Financial Advisor July 2009 Eric Rasmussen	Surviving The Storm Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them.
Financial Advisor July 2009 Andrew Gluck	Advisors Who Get Fired In tough times, good advisors should be able to broach touchy subjects with their clients.
Financial Advisor July 2009 J. Michael Martin	Do Something! If modern portfolio theory and the stock market are hurting your advisory business, here are some things you can do about it.
Financial Advisor July 2009 David Lawrence	How Much Is Too Much? Outsourcing can financial advisors who try to tackle too much alone.
Financial Advisor July 2009 Bill Bachrach	The Ideal Client Community It's one that generates enough money to make your business work and has clients you enjoy.
Financial Advisor July 2009 Mitch Anthony	Something To Believe In What is it that makes people do stupid things with their money? The sound of the herd, plain and simple.
Financial Advisor July 2009 Mary Rowland	Avoiding The Tax Man Moving out of a state might help a client save taxes; moving out of the U.S. probably won't.
Financial Advisor July 2009 Joel P. Bruckenstein	Formatting Fallacies For advisory businesses, choosing between TIFFs or PDFs for business records means understanding their pros and cons.
Financial Advisor July 2009 David J. Drucker	Taming The Bear With ETFs Clients upset? Maybe you should have used ETFs and Tom Lydon's simple investment strategy.
Financial Advisor July 2009 Raymond Fazzi	College Savers In Retreat New 529 plan sales are down in the wake of the market collapse, while plan participants retreat to ultraconservative options.
Financial Advisor July 2009 Mitch Politzer	Managing In A Post- Economic Crisis Era As painful as the current environment is for your clients, over the next decade it will prove to have been the optimal point to invest. But it must be done on a selective basis.
Financial Advisor July 2009 Sherri Scordo	NAPFA Under Ethics Spotlight After drawing unwanted attention when some of its members were recently accused of fraud, the National Association of Personal Financial Advisors is wrestling with ways to ensure that members abide by the organization's ethical standards.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Financial Advisor July 2009 Sherri Scordo	6% Withdrawal Rate OK What's the magic number for client withdrawal rates? Various research has long pointed to around 4%, but research in recent years has nudged that rate to higher levels.
Investment Advisor July 2009 James J. Green	Taking the Really Long View (Longer Version) A conversation with Robert Manning, CEO of MFS Investment Management.
Bank Systems & Technology June 30, 2009 Nathan Conz	Heartland Completes First Phase of Encryption Pilot Heartland Payment Systems announces it has successfully completed an AES-encrypted transaction process from a merchant card reader through to a processor network.
Financial Planning July 1, 2009 Donald Jay Korn	Filling the Gaps Clients who own small businesses are likely to face problems in this uncertain economy, and financial planners can help address at least some of their issues.
Financial Planning July 1, 2009 Joel P. Bruckenstein	Introducing NetX360 It remains to be seen if Pershing can execute its plan to ensure that clients receive the maximum benefit from their new NetX360 technology. If Pershing succeeds, it could give the company a large technological lead over its competitors.
Financial Planning July 1, 2009 Glenn G. Kautt	Survival of the Fittest The financial planning business is part of the evolving landscape, therefore we must do two things: Execute the current business plan for today and adapt a plan for tomorrow.
Financial Planning July 1, 2009 Bob Veres	Planning for Thrift For the past 15 years, Pamela Christensen has been pioneering what may be an emerging service in the financial planning marketplace: detailed, line-by-line budget planning for her clients.
Financial Planning July 1, 2009 John J. Bowen Jr.	Spring Cleaning Advisors are often so busy working in their businesses that they believe they don't have time to work on their businesses. The large number of advisors who have high gross revenues but mediocre net incomes is evidence of the problem.
Financial Planning July 1, 2009 Paul Menchaca	Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own.
Financial Planning July 1, 2009 Gail Buckner	An Old Friend One of the most important ways advisors can assist their clients in preparing for retirement is by helping them change their mind-set about Social Security.
Financial Planning July 1, 2009 Amy Florian	Are You Okay? In the midst of the pain of the past year, advisors still feel optimism and hope. At a recent conference advisors spoke of sharpening their skills and improving client communications.
Financial Planning July 1, 2009 Scott Schutte	Lesson Plans Is there anything positive we can take away from this time of turmoil? How can we learn, and how can we help our kids learn from this? What wisdom can we impart to our children or our clients' children that can help them better prepare for their financial future?
Financial Planning July 1, 2009 Martin Shenkman	A Special Plan If your clients have special-needs children, it's time to revisit their planning assumptions. Will there be enough assets to provide for the special beneficiary?
Financial Planning July 1, 2009 Marion Asnes	Nobody Wins What can you do at this time to reach out to your clients and assure them that their faith in you is justified?
Financial Planning July 1, 2009 Donna Mitchell	A Brighter Outlook Advisors' confidence in the economy and the stock market improved in May, to a reading of 100.48 -- up nearly seven points from 93.59 in April.
Financial Planning July 1, 2009	AdvisorMax Is Back! As the tide is turning, and at least some of the burden has been lifted off your shoulders, now is a better time than any to step back and take a look at your practice. How well has it weathered the storm?
The Motley Fool July 1, 2009 Matt Hoffman	Protect Your Portfolio From a Weakening Dollar The shadow banking system, where opaque instruments like derivatives played an important role in providing credit, has soured, and the Fed has flooded the market with dollars to prevent collapse. What stocks should you buy to protect yourself from the inevitable weakening of the dollar?
Investment Advisor July 2009 Peter McCarthy	Bilocation As families straddle various countries and jurisdictions, they also encounter a range of new issues that may threaten their financial security and their control over important family decisions. Let's explore some of these issues and how advisors can help.
Investment Advisor July 2009 Moseley & Spencer	Right in Front of You A growing number of advisory firms are facing tough decisions about spending money on new technology.
Investment Advisor July 2009 James J. Green	Editor's Note: New American Revolution? Perhaps we could translate the Australian advisory business model into an American golden age of advice.
Investment Advisor July 2009 James J. Green	Danger & Opportunity: Taking the Really Long View A conversation with Robert Manning, CEO of MFS Investment Management.
Investment Advisor July 2009 James J. Green	Danger & Opportunity: Service Excellence--The Advisors' Take What actually constitutes good service, and does the definition change if you're offering it to clients in these challenging times, or getting it from your partners?
Investment Advisor July 2009 Jeff Joseph	Venture Populist: Proposed -- A Hybrid Portfolio Theory There is a better way to build investment portfolios than the methods presently employed by most investors and advisors.
Investment Advisor July 2009 James J. Green	At Pershing, Opportunity A report from the annual Insite gathering.
Investment Advisor July 2009 James J. Green	Black Rock in $13.5 Billion for Barclays Global BlackRock Inc. will acquire Barclays Global Investors for $6.6 billion in cash and 37.8 million shares of BlackRock common stock and equivalents.
Investment Advisor July 2009 James J. Green	Catching Up With... Jeff Mortimer, chief investment officer of Charles Schwab Investment Management, remains serene, if realistic, in this market environment.
Investment Advisor July 2009	Changes Personnel moves and appointments: George Canellos as regional director of the SEC's New York regional office... ING Investment Management, Americas, has hired Jonathan Golub... more...
Investment Advisor July 2009 James J. Green	Numerology: Wealthy Remain Wary The wealthy are even more risk-averse than advisors might have thought.
Investment Advisor July 2009	Group Think Association news: MD Preferred Service Network, an online physician resource center, is working with NAPFA to launch the MD Preferred Financial Advisor Network... Investment Adviser Association has announced a new slate of officers for the coming year... more...
Investment Advisor July 2009	Upgrades What's going on: Pershing LLC has rolled out its NetX360 technology platform... Kohlberg Kravis Roberts announces an agreement with Fidelity Investments... Vanguard plans to merge funds... Laserfiche introduces Avante... more...
Investment Advisor July 2009	Asset Allocation This month's asset allocation recommendations from the Investment Advisor Panel.
Investment Advisor July 2009 Mark Tibergien	Formulas for Success: Physician, Heal Thy Business Owners of advisory firms have a little breathing room to make clear-headed decisions. But not a lot of time.
Investment Advisor July 2009 Bob Clark	Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation.
Investment Advisor July 2009 Olivia Mellan	The Psychology of Advice: Crash Consciousness To keep the current crisis from weakening your bonds with your clients, you need to tune into their beliefs and fears at the deepest level.
Investment Advisor July 2009 Lewis Schiff	The Affluentialist: Intangible Assets; Real Challenges Intangible assets can take the form of copyrights, trademarks, royalty rights, the rights to publicity, and many more variations. How should advisors handle these?
Investment Advisor July 2009 Robert F. Keane	The Green Advisor: A 21st Century Commodity The market-based approach upon which the U.S. Acid Rain program is based has effectively demonstrated that environmental protections and economic well-being are not mutually exclusive.
Investment Advisor July 2009 Savita Iyer-Ahrestani	Retirement Planning: Fund Firms Get Ahead of Summary Prospectus Deadline Experts believe the SEC will soon extend the summary prospectus requirement to variable annuities.
Investment Advisor July 2009 James J. Green	More From the Silver Lining Department Here's another silver lining of sorts that's come out of the recession -- at least for advisors and maybe even for the growing ranks of the unemployed. The unemployed are rolling over their 401(k)s.
Investment Advisor July 2009 Melanie Waddell	Retirement News A new study of target-date fund investments by the Employee Benefit Research Institute... EBSA once again extends the applicability and effective dates of the final rule on investment advice...
Investment Advisor July 2009 Bruce Weininger	Soapbox: Euthanize Wealth Management Practices The fixed income substitutes pushed by the major investment houses weren't fixed income substitutes at all.
Investment Advisor July 2009 Robert F. Keane	The Ethics of Advice In Australia, members of the Financial Planning Association must adhere to the (slightly abridged) following Code of Ethics.
Investment Advisor July 2009 Robert F. Keane	How to Speak Australian A few terms from our friends in the southern hemisphere that may help you understand their economic system.
Investment Advisor July 2009 Peter McCarthy	Behavior Modification Beyond providing money for emergencies, a generation-skipping trust can be structured in ways that attempt to guide the behavior and life choices of future generations.
Investment Advisor July 2009 Moseley & Spencer	How Much Can You Save? Schwab Technology Consultants estimates that for every daily five-minute process that's automated, an advisory firm could save $800 annually in operational resources.
Investment Advisor July 2009 Moseley & Spencer	Tech Evangelist At multistate wealth management firm LarsonAllen, an increased workload and limited staffing resources made it imperative that those advisors who weren't using the firm's automated rebalancing technology get on board.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
Investment Advisor July 2009 James J. Green	Changing Shades of Blue Among the Massachusetts Investors Trust holdings 85 years ago were Nash Motors Co., the New York Central Railroad, Naumkeag Steam Cotton Co., and the Punta Alegre Sugar Co.
Investment Advisor July 2009 James J. Green	What Do Advisors Want? When it comes to service from their custodians, advisors want accurate, timely information, but they also want a partner with integrity.
Investment Advisor July 2009 Olivia Mellan	A Well-Founded Distrust Cultural differences about money and investing are often rooted in sometimes bitter experience, something advisors should keep in mind with foreign investors.
Commercial Investment Real Estate Jul/Aug 2009 Safarian, Choi & Grant	Carveout Consequences Learn how the courts rule on non-recourse loan provisions.
On Wall Street July 1, 2009 Frances A. McMorris	The Lure of Independence After 14 years as a Merrill Lynch financial advisor, Jason DiLauro set himself up as an independent through Raymond James Financial Services four miles from his previous office.
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
On Wall Street July 1, 2009 Elizabeth Wine	Capital Calls: The Plight of the Partner Making partner in an advisory firm once conjured up images of crazy wealth, but these days you may end up paying your company.
On Wall Street July 1, 2009 Helen Kearney	RBC Swooping in on UBS Advisors A string of veteran UBS advisors have made the jump to RBC Wealth Management over the past eight months.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
On Wall Street July 1, 2009 Gerri Leder	Family Office: Frontier or Fad? Some advisors are jumping on the multifamily-office bandwagon, looking for the "new, new thing" that will transform their practices, revive their books, and restore their enjoyment for the business.
On Wall Street July 1, 2009 Alan Foxman	Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered.
On Wall Street July 1, 2009 Pamela Rosenau	Some Clients Crave Comfort Investing The essential part of our process is getting our clients comfortable with the investment process and making sure that they have true staying power with their commitments to each asset class.
On Wall Street July 1, 2009 William Willis	Culture Shock: A New Company Even Seems to Speak a Different Language It is important for advisors to have a positive attitude about their new or changing firms. Remember, your clients and prospects are sensitive to these feelings, and will only be as comfortable with your firm as you are.
On Wall Street July 1, 2009 Doug Dannemiller	Advisors Face Competition from Do-it-Yourselfers Advisors face growing competition from web-based retirement planning services catering to the do-it-yourself instincts of the baby boomers.
On Wall Street July 1, 2009 Frances A. McMorris	Rebuilding Confidence After the Turmoil Building back investor confidence isn't the job of advisors alone. Regulators, politicians and policymakers are all grappling with different approaches to the problem.
Investment Advisor July 2009 Angela Herbers	The Fast Track: Highly Focused, Very Happy Solo advisor Brian Fenn personifies the power of niche advising.
Investment Advisor July 2009 Jonathan Henschen	Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way.
Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
Investment Advisor July 2009 Robert F. Keane	Lessons From Down Under A review of how the Australians have come to regulate advice givers could be helpful to our current situation.
Reason July 2009 Tim Cavanaugh	Sympathy for the Investment Banker Who killed Bear Stearns? If you want a compelling rendition of the fall of a once-proud investment bank, Bear Trap and House of Cards are both worth reading.
The Motley Fool June 30, 2009 Matt Koppenheffer	Something Could Go Right in Banking Is the banking industry a minefield or a land of opportunity?
Bank Systems & Technology June 29, 2009 Maria Bruno-Britz	Bank of America, First Data to Form 'Next-Gen' Payments Company Banc of America Merchant Services is being created to deliver merchants and consumers with a variety of secure, convenient payment features.
The Motley Fool June 29, 2009 Brian Richards	Roundtable: Lessons From the Madoff Mess 71-year-old Ponzi scheme mastermind Bernard Madoff was given the maximum sentence for the 11 criminal counts to which he pleaded guilty: 150 years in jail. Motley Fool writers offer opinions on the lessons learned.
Registered Rep. June 25, 2009 Halah Touryalai	Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry.
Bank Systems & Technology June 21, 2009 Katherine Burger	Herbert Allison Confirmed as Department of Treasury's Assistant Secretary for Financial Stability Former Fannie Mae and TIAA-CREF CEO's responsibilities include overseeing TARP.
Bank Systems & Technology June 26, 2009 Nathan Conz	USAA to Launch Mobile RDC iPhone App USAA will launch an application that will allow customers to remotely deposit checks using their iPhone.
Bank Technology News July 2009 Michael Sisk	The Future of the Bank Branch Washington Mutual's experiment in futuristic branch design-at a cost of $1 billion-has come to an ignominious end.
Bank Technology News July 2009 Michael Sisk	Five Branch Technologies To Watch Cash recyclers, microsoft surface, RFID, video conferencing/messaging, and queue management are new banking technologies to keep an eye on.
Bank Technology News July 2009 Michael Sisk	Branch Design Diversity is the Future Continued branch innovation -- driven by customer tastes and banks' willingness to experiment -- means that banks may one day look very different from one another.
Bank Technology News July 2009 Rebecca Sausner	Card Co's Day of Reckoning Hits IT "Overhauling" and "reconstructing," as required by the Consumer Financial Protection Agency, will have technology implications for credit card companies, but not always good ones.
Bank Technology News July 2009 Rebecca Sausner	USAA's Quietly Leading the Mobile Race USAA is the first U.S. bank to announce a retail remote deposit capture app for the iPhone, yet another coup in the single-branch bank's stealth dominance of mobile banking adoption.
Bank Technology News July 2009 John Adams	This White Knight's On A Rocket The FDIC's auctioneers operate the new bank repo market with lightning speed - institutions can go from failing to the auction block to shotgun acquisition in less than a week.
Bank Technology News July 2009 John Adams	A BIT of Competition How much sharing banks should do with other institutions is a tough decision for CIOs and CROs, and even the forces that advocate shared assessments says convincing banks to fully relinquish proprietary controls is a challenge.
Bank Technology News July 2009 John Adams	The Other Systemic Threat to Banking Credit default swaps, core processing systems and ATM networks would all appear to be different animals in the financial zoo, but there may be some dangerous common ground.
Bank Technology News July 2009 John Adams	JPMorgan Chase Sets the Bar for Payments Even early into adoption of the ISO 20022 messaging standard in its treasury services business, JPMorgan Chase can provide a peak into how the standard may hasten payment initiation and reporting far downstream.
Bank Technology News July 2009 Michael Sisk	ETrade Expands Offering to iPhone Online trading houses have been pushing smart phone technology the furthest, with ETrade and TD Ameritrade releasing robust trading apps - first for BlackBerry, then for the iPhone - that are the most advanced mobile financial services on the market.
Bank Technology News July 2009 Chris Costanzo	Small Business Finds Other RDC Providers Virtually all large and mid-tier banks offer remote deposit capture to corporate customers, but the industry has been slow to offer these services to the small business segment.
Bank Technology News July 2009 John Adams	A Simple Path to Playing Catch Up Long comfortable with its stable rural customer base, Four County Bank has woken up to market conditions that leave it in dire need of a technology upgrade.
Bank Technology News July 2009 Mark Rennie Davis	High Volume Crucial to Contactless Success Successfully expanding the use of contactless payments enables issuers to capture myriad day-to-day spending -- on items such as fast food, newspapers, and groceries -- which consumers and merchants are reluctant to use plastic for.
U.S. Banker July 2009 John Engen	Match Game If the investments in companies like BankUnited result in stronger franchises, it will confirm that perhaps there is a greater role for private equity in the banking industry.
U.S. Banker July 2009 Karen Epper Hoffman	Up in the Clouds More banking information tech departments may be looking at a cloudy future -- and that's not a bad thing.
U.S. Banker July 2009 Anthony Malakian	A Whole New World Bank of North Dakota makes about 70 percent of the student loans in its home state, but if the Obama Administration has its way, the $3.5 billion-asset bank would be out of the origination business by this time next year.
U.S. Banker July 2009 Glen Fest	Bidder Medicine While its house was burning down, BankUnited of Coral Gables, Fla., was on a deposit-gathering spree.
U.S. Banker July 2009 Glen Fest	Assuming an Old Remedy Maybe it's time lenders dust off an old idea -- the so-called simple assumption loan.
U.S. Banker July 2009 Joseph Rosta	FASB Waves Goodbye to "Qs" The Financial Accounting Standards Board has decided to eliminate the concept of qualified special purpose entities.
U.S. Banker July 2009 Alan Kline	Raking in the Fee Income Among bank holding companies, Citigroup Inc. remains the industry leader in generating insurance revenue, but rivals Wells Fargo & Co. and Bank of America Corp. are closing the gap.
U.S. Banker July 2009 Anthony Malakian	Getting in the Game To help promote its new contactless payment card, Barclays plc produced a video game aimed at young consumers -- the demographic the bank sees as most likely to use the card.
U.S. Banker July 2009 Anthony Malakian	New Ally, Big Splash Despite its ties to the beleaguered General Motors and its own capital concerns, GMAC Bank had little trouble attracting deposits after it established a bank holding company in December.
U.S. Banker July 2009 Glen Fest	The Dollars and Sense of Going Mobile Banks that latched onto mobile banking a few years ago were more interested in first-mover advantage than profitability.
U.S. Banker July 2009 Steve Garmhausen	Keeping a Tight Schedule The retail banking manager at Mechanics Bank in Richmond, Calif., calls the bank's recent investment in sophisticated scheduling technology a "no-brainer."
U.S. Banker July 2009 Anthony Malakian	Your Ad Here, Free Recognizing the cash crunch many entrepreneurs are facing, one Colorado banking company has come up with a plan for helping its small business clients boost visibility -- and, hopefully, sales -- by offering them free Web site hosting and ad space.
U.S. Banker July 2009 Robert Barba	Such Language! First State Bank of Winchester, IL, is negotiating the terms of a cease-and-desist order with regulators.
U.S. Banker July 2009 Heather Landy	A Matter of Maturity Banks holding commercial real estate mortgages may be on the cusp of a major problem.
U.S. Banker July 2009 Stessa Cohen	The Case for Building a Social Media Strategy The growth of social networking and the emergence of social-banking models will drive fundamental change in the ways that consumers manage their financial lives.
U.S. Banker July 2009 Andrew Dubinsky	Electronic Lending Could Help Avert Another Crisis If regulators had the tools in place to effectively view complex debt instruments and the links between the financial institutions that securitize, hold, and insure them this crisis may not have happened.
U.S. Banker July 2009 Joseph Rosta	Risk Management: Miles to Go Unless regulators ensure that risk management becomes an integral part of banks' corporate culture, from the trading floor to the boardroom, the goal of preventing systemic failure may prove much harder to achieve.
BusinessWeek June 25, 2009 David Henry	Goldman Profits from the Downturn For Goldman Sachs, a slow recovery and dysfunctional bank bailout programs mean bigger profits.
BusinessWeek June 25, 2009 Michael Mandel	Financial Rules: Why a Global Fix Is So Far Off The financial crisis just hasn't been bad enough for G-20 leaders to cede power to international regulators.
BusinessWeek June 25, 2009 Theo Francis & Mark Scott	European Regulators Target U.S. Firms New regulatory efforts by European policymakers may put American banks, insurers, and money managers at a competitive disadvantage.
Bank Systems & Technology June 23, 2009 Maria Bruno-Britz	CashEdge Launches Bank-Centric P2P Payments Service POPmoney will allow consumers to make person-to-person payments through their banks' online and m-banking services.
Bank Systems & Technology June 23, 2009 Maria Bruno-Britz	Visa, NeuStar Embark on Mobile Payments Alliance The partnership claims to have solved the revenue problem for all players in the m-payments chain, including banks.
Bank Systems & Technology June 23, 2009 Maria Bruno-Britz	Deutsche Bank Picks CoreFirst for IT Efficiency The CoreFirst technology from OpTier is helping Deutsche reduce costs and errors in its IT environment.
Registered Rep. June 25, 2009 Christina Mucciolo	Go Figure, HNW Clients Lost Trust and Money in 08: Wealth Report Not surprisingly, last year's market took its toll on the wealthy, reducing assets, slimming their ranks and undercutting their trust in institutions associated with the market
The Motley Fool June 25, 2009 Alex Dumortier	Will GE Be the Biggest Loser of Financial Reform? High stakes for this non-bank financial.
Registered Rep. June 24, 2009 Christina Mucciolo	Can't Beat The Market? Beat Your Advisor Lose a client's money, what's the worst that could happen?
Bank Systems & Technology June 22, 2009 Maria Bruno-Britz	MasterCard Names Ajay Banga COO Citi's Banga will join the card giant later this summer and will be charged with growing customer relationships.
Bank Systems & Technology June 18, 2009 Katherine Burger	Can Trust Be Rebuilt in the Financial Services Industry? The Obama Administration's new proposals for financial services regulation aim to rebuild trust within the industry, and between banks and the public. That may be easier said than done.
The Motley Fool June 24, 2009 Alyce Lomax	Citigroup: No Bonus? No Problem! The people at Citigroup aren't getting any bonuses. However, it looks like some of them are getting massive pay raises instead.
Registered Rep. June 22, 2009 David A. Geracioti	Madoff Had Help Running His Fraud, Says SEC The SEC today indicted four individuals for helping Bernie Madoff in his colossal Ponzi scheme. One of the individuals was a registered rep and a second was an investment advisor.
Bank Systems & Technology June 17, 2009 Maria Bruno-Britz	Levitt Applauds Regulatory Reforms, but Says Accounting Standards Ignored Former SEC chairman Arthur Levitt says the Obama plan for regulatory overhaul achieves good balance, but still must address other problems.
Entrepreneur July 2009 Jennifer Wang	Community Banks to the Rescue Community banks are making a play for a bigger share of the market.
Bank Systems & Technology June 21, 2009 Maria Bruno-Britz	Treasury Services Are Proving to be a Beacon Amid the Dark Economy for Banks With the retail banking industry struggling to stay afloat, banks' treasury services businesses are increasingly proving their worth amid a turbulent economy.
HBS Working Knowledge June 22, 2009 Roger Thompson	"Too Big To Fail": Reining In Large Financial Firms The federal government should slap tough new regulations on all firms that pose "systemic risk" - the risk that a failure of one institution could wreak havoc across the entire financial system.
Registered Rep. June 22, 2009 John Churchill	Sir Allen Stanford Indicted Allen Stanford, the flamboyant 59-year-old billionaire CEO of the Stanford Group Companies was indicted Friday on charges of conspiracy to commit securities, mail and wire fraud.
The Motley Fool June 22, 2009 Rick Aristotle Munarriz	E*TRADE's Shiny New Convertible The discount broker is ready to swap its debt for convertible zero coupon debt.
The Motley Fool June 22, 2009 Morgan Housel	There's No Recession for Goldman Sachs Record bonuses are in store for Goldman's employees. Is that a good thing?
Registered Rep. June 18, 2009 John Churchill	Target Date Funds Under Congressional Microscope; Sortino's Thoughts The Department of Labor and the SEC are holding a joint hearing today in Washington to explore "issues" related to target date/lifecycle funds.
The Motley Fool June 19, 2009 Rick Aristotle Munarriz	ETRADE Rips Off the Bandage ETRADE is firing up the printing press to crank out 435 million new shares -- as many as 500 million if underwriters need more to cover overallotments -- at a very low price.
The Motley Fool June 19, 2009 Morgan Housel	Where Did All the Bailout Money Go? Now that several banks have repaid taxpayers about $70 billion of the $700 billion bank bailout know as TARP, a common question is: "Great, now where's the other $630 billion?" The answer isn't as clear-cut as many may assume.
Bank Systems & Technology June 18, 2009 Maria Bruno-Britz	The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune.
BusinessWeek June 18, 2009 Maria Bartiromo	Inside the Big Deal Between BlackRock and Barclays An interview with Barclays President Bob Diamond and BlackRock Chairman and CEO Larry Fink.
BusinessWeek June 18, 2009 Avinash D. Persaud	How to Save the Financial System Regulators Redistributing risk, rather than trying to eliminate it, is the key to strengthening the world's banks.
The Motley Fool June 18, 2009 Rick Aristotle Munarriz	E*TRADE Is Doing Better Than You Think The discount broker has a mixed May, and a plan to improve its finances.
TIME Asia June 18, 2009 Michael Schuman	Position Player Though headquartered in London, most of Standard Chartered's operations are centered in the emerging markets of Asia, the Middle East and Africa -- and as a result, it has not only weathered the crisis but continued to prosper.
Registered Rep. June 17, 2009 Christina Mucciolo	The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard.
Bank Systems & Technology June 16, 2009 Maria Bruno-Britz	Online Bill Pay Expected to Grow Through 2014 Forrester Research shows there is still room for growth in e-bill pay, but the battle will continue between biller director and aggregator models.
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 June 17, 2009 Morgan Housel	Credit Cards Are Dying Fast Some big banks are already logging credit card default rates well past what the Treasury's stress test assumed to be a worst-case scenario.
The Motley Fool June 17, 2009 Alex Dumortier	Is the Fed the Next Citigroup? The Fed is undercapitalized in the way that Citigroup is undercapitalized, at least before it's magical transference of preferred to common shares.
Bank Systems & Technology June 16, 2009 Maria Bruno-Britz	PwC Purchases BearingPoint Commercial Services Practice The acquisition by PricewaterhouseCoopers of certain BearingPoint contracts in North America expands its reach into financial services.
The Motley Fool June 16, 2009 Matt Koppenheffer	Bank of America Is a Mess -- but Buy It Anyway? Or why bother? Bank of America is a huge company with a lot of unknowns, it's a very heavily followed stock, it has very opaque financials, and it has embattled leadership.
The Motley Fool June 16, 2009 Morgan Housel	Don't Kid Yourself: Banks Can Still Be Insolvent The folks at Treasury say everything will be fine. Should we believe them?
Registered Rep. June 11, 2009 Kristen French	FINRA Board Gets New Members; LPL, Ed Jones, Deutsche Replace Merrill, Lehman, ING execs Four new members were elected to the FINRA Board o Governors.
Bank Systems & Technology June 12, 2009 Maria Bruno-Britz	Microsoft to Shelve Money Microsoft says increasing competition in the personal finance space from banks and others led to its decision to discontinue selling its Money software.
Bank Systems & Technology June 11, 2009 Maria Bruno-Britz	Kiva Looks to Bring Microlending to U.S. Entrepreneurs Kiva is gaining traction in the U.S. as an alternative loan source for small business owners in need of funding.
Bank Systems & Technology June 10, 2009 Maria Bruno-Britz	Bonuses Still Point of Contention for Obama The President continues to push for restrictions on bonus compensation for financial executives.
Wall Street & Technology June 9, 2009 Melanie Rodier	20 of the Top Chinese Fund Management Companies The Chinese mutual fund industry is currently 1/10th of the size of the U.S. industry, but is growing fast. Here are 20 of the top Chinese fund management companies, which also include joint ventures with some big Western banks.
Wall Street & Technology June 4, 2009 Greg MacSweeney	Still Stressed Over Bank Stress Tests Although investors greeted the results of the government's banking stress tests with cheers, were the tests strict enough to help prevent another financial meltdown?
Finance & Development June 2009 John Lipsky	Preparing for a Postcrisis World Assessing the IMF's role in the future international financial architecture
Finance & Development June 2009 Giovanni Dell'Ariccia	Asset Price Booms: How Can They Best Be Managed? Not all booms are alike -- making the right call on which policies to deploy depends on how assets are held and who is exposed to a possible bust
Finance & Development June 2009	The Perfect Storm The IMF's Chief Economist explained in a November 2008 lecture how a crisis that began in mortgage-backed securities turned into the worst recession since the 1930s.
Finance & Development June 2009 Randall Dodd	Playing with Fire Firms across the spectrum of emerging markets entered into exotic derivative contracts that caused massive losses
Finance & Development June 2009 Kamil et al.	A Hedge, Not a Bet Latin American companies used new techniques to protect against currency swings. But a few used them to gamble -- and they lost big.
Finance & Development June 2009 Eyzaguirre et al.	Latin America: When Is Fiscal Stimulus Right? For some Latin American countries stimulus is appropriate during the global economic crisis. But for others the answer is less clear.
Finance & Development June 2009 S. Raihan Zamil	Viewpoint: Regulatory Philosophy Matters Risk-based supervision sought to spur innovation and reward good behavior but helped bring about the global financial crisis.
Wall Street & Technology May 11, 2009 Ivy Schmerken	Wall Street Opens Doors to Open Source Technologies The recession, combined with access to a worldwide community of developers, is driving capital markets firms to adopt open source technologies in increasing numbers.
Wall Street & Technology May 1, 2009 Melanie Rodier	Exchanges, Banks and Brokerages Start Tweeting Exchanges, brokerages, banks, and regulators are all jumping on the Twitter bandwagon and exploring new ways to reach out to their customers.
Wall Street & Technology May 1, 2009 Penny Crosman	Activ Financial and Hanweck Upgrade Joint Options Analytics Solution To help financial firms that are struggling to balance processing high data volumes while managing latency and high volatility in the options markets, Activ Financial and Hanweck Associates announced that they have upgraded their joint VoleraFeed product.
Bank Systems & Technology June 10, 2009 Maria Bruno-Britz	Unemployed Finance Pros Still Optimistic About Hiring A survey by OneWire.com illustrates a resilient attitude among financial services professionals seeking employment.
Registered Rep. June 9, 2009 Halah Touryalai	Fewer Advisors Switch B/Ds in May The number of advisors switching firms dropped 23 percent in May versus April, according to Discovery Database.
Bank Systems & Technology June 8, 2009 Maria Bruno-Britz	Bank of America Names Gregory Curl CRO, Adds to Board In addition to appointing Curl head of risk, B of A has named four new members to its board of directors.
Bank Systems & Technology June 9, 2009 Maria Bruno-Britz	Wells Fargo Grows First Data Card Relationship An expanded agreement has been signed to include Wachovia's card customers with Wells Fargo's First Data portfolio.
Bank Systems & Technology June 8, 2009 Maria Bruno-Britz	American Savings Picks Fiserv for Core Upgrade Hawaii's American Savings Bank will use the Fiserv Signature Bank Platform for its enterprise operations.
Bank Systems & Technology June 4, 2009 Maria Bruno-Britz	FSTC Merges Into Financial Services Roundtable The marriage of the organizations is designed to create a more robust yet efficient means for financial services innovation.
Registered Rep. June 4, 2009 John Churchill	Merrill Lynch's Dan Sontag Out? Salaried Merrill Brokers? Not so Fast According to a story posted yesterday on Clusterstock.com, a financial blog, Dan Sontag, head of Merrill Lynch's global wealth and investment management unit, is about to be pink-slipped.
On Wall Street June 5, 2009 Denise Federer	Understanding and Guiding Client Behavior Financial professionals face the complex challenge of effectively responding to the financial and emotional needs of their clients, while managing their own emotional reactions to the current turbulent markets.
Bank Systems & Technology June 3, 2009 Maria Bruno-Britz	Mobile Banking Is Now a Must-Have for Banks According to a panel of bankers at Celent Innovation and Insight Day, mobile banking has moved beyond the hype to the next step in banking's evolution.
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.
Financial Planning June 1, 2009 Paul Menchaca	Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.
Financial Planning June 1, 2009	The Biggest, Fastest-Growing Independent Broker-Dealers 2009 Despite the dramas, the scandals, the shocking losses of the past year, the independent world continues to grow. Read on, and find out how broker-dealers are really faring in these challenging times.
Financial Planning June 1, 2009 Deena Katz	Invest in People Like many other firms, you have probably cut staff in order to meet both short-term cash flow and long-term profitability needs. But what you might want to consider is how to keep your remaining people working, while the firm takes less of the cash-flow risk.
Financial Planning June 1, 2009 Bob Veres	The Schapiro Doctrine There are some problems with Mary Shapiro's plan to bring financial advisors and brokers under the same regulatory system.
Financial Planning June 1, 2009 John J. Bowen Jr.	Culture Clash To create alliances with CPAs, you first have to understand the way most CPAs perceive most financial advisors and then do what's necessary to show that who you are, and what you offer their clients, is quite different from their expectations.
Financial Planning June 1, 2009 Paul Menchaca	Post-Boom It is no secret that as investors continue their flight to safety, the variable annuity boom has at least deflated, if not entirely gone bust. More conservative retirement products are now in favor.
Financial Planning June 1, 2009 Ilana Polyak	Not How, But How Much As difficult as the recent market has been for dividend payers, managers Brian McMahon and Jason Brady, of Thornburg Investment Income Builder fund, were able to take advantage of the fund's flexible strategy to find income in other places.
Financial Planning June 1, 2009 Richard "Mac" Hisey	"Other" Crises Whether because of job loss, divorce, long-term illness or the death of a spouse, your clients regularly deal with crises that throw their personal lives into a tailspin and, potentially, their finances into disarray
Financial Planning June 1, 2009 Ilana Polyak	Buy and Hope More and more advisors are rethinking a buy and hold strategy.
Financial Planning June 1, 2009 Craig L. Israelsen	The Value Premium While industry experts might be trumpeting growth as the place to be when the market rebounds, advisors should remember that longer-term, the market values value.
Financial Planning June 1, 2009 Donald Jay Korn	Loss Leaders Should tax-loss carryforwards be considered when deciding whether to acquire or retain a mutual fund in a taxable account?
Financial Planning June 1, 2009 Richard A. Ferri	Mapping Indexes Today's advisors can best serve their clients with a working knowledge of the various index methodologies. Unfortunately, this is no easy task.
Financial Planning June 1, 2009 Ingrid Case	What Clients Want Now Clients do have a right to expect planners to get busy -- very busy -- in three major areas now. As the markets start to recover, advisors need to calm clients, stabilize their portfolios, and take advantage of the upside.
Financial Planning June 1, 2009 Joel P. Bruckenstein	Smartphone Smarts Smartphones will change the way advisors work, letting them enhance productivity and better serve clients.
Financial Planning June 1, 2009 Dave Lindorff	Annuity Ladders People facing retirement want guaranteed income, and they also want liquidity, so purchasing annuities over a period of time, even into retirement, makes sense.
Financial Planning June 1, 2009 Donald Jay Korn	Know the Score Despite their importance, most consumers know very little about the inner workings of credit scores.
Financial Planning June 1, 2009 Frank O'Connor	Falling Fast New sales of variable annuities continued to decline in the fourth quarter of 2008, falling to $32.6 billion from third-quarter sales of $37 billion, an 11.9% drop.
Financial Planning June 1, 2009 Martin Shenkman	Stretch that Gift . A split-dollar arrangement divides responsibility for paying life insurance premiums between the policy owner and another party, such as a trust or business. This frees up your client to gift more money while buying the insurance coverage necessary to protect the estate.
Financial Planning June 1, 2009 Jim Grote	Finding Freedom Sixty-seven-year-old John Sestina, principal of John E. Sestina & Co. in Columbus, Ohio, believes his clients want financial independence, not retirement.
Financial Planning June 1, 2009 Donna Mitchell	M & A: Who's Buying? Forget the dearth of capital afflicting the rest of the financial industry: RIA firms have access to plenty of money for mergers and acquisitions.
On Wall Street June 1, 2009 Helen Kearney	Big Name Boutiques Flex Their Muscles For those wirehouse advisors who want something new, but don't quite have the nerve to go independent, these elite boutiques look mighty attractive.
On Wall Street June 1, 2009 Craig Israelsen	Variable Products, Variable Results The question is: Do the higher costs of variable products cause them to systematically underperform mutual funds?
On Wall Street June 1, 2009 Lauren Barack	FINRA's Push for Greater Broker Oversight With the public's distrust of the financial community in overdrive, FINRA hopes to make disciplinary records permanently available on its BrokerCheck site.
On Wall Street June 1, 2009 Elizabeth Wine	BofA Gets New Chairman, New Capital As financial advisors continue to bear up under a perfect storm of market turmoil, and watch their companies raked over the coals for their roles in the economic collapse, the bad news keeps on coming.
On Wall Street June 1, 2009 Gerri Leder	What Should You Do Next for You and Your Clients? While some advisors are paralyzed by inertia, others are working overtime: reading, calling and bringing perspectives to their clients. If advisors don't move, their clients surely will.
On Wall Street June 1, 2009 Alan J. Foxman	Anyone Around Here Know a Good Lawyer? Financial advisors ask their legal questions.
On Wall Street June 1, 2009 Carri Degenhardt-Burke	Don't Burn Bridges, They Lead to the Future In this environment of consolidation and constant change, it pays to get to know the guy on the other side of your street
On Wall Street June 1, 2009 Denise Federer	Understanding and Guiding Client Behavior Financial professionals face the complex challenge of effectively responding to the financial and emotional needs of their clients
On Wall Street June 1, 2009 Robert Seaberg	The "Other Part" of Retirement Planning Retirement, however, is not just about numbers. If we replace the number with "second chapters," it conjures a world of new, qualitative things. And it is these things that planners often neglect
On Wall Street June 1, 2009 Handler & Lothes	Incentive Trusts Don't Provide The Best Motivation Incentive trusts attempt to encourage (or discourage) certain behaviors by making distributions dependent on certain benchmarks or accomplishments.
On Wall Street June 1, 2009 Frances A. McMorris	Admitting Mistakes Now, Avoiding Them Later Find the time and a place to do a thorough and thoughtful analysis of your business practices and how it affects your clients. Find out what works and what doesn't.
On Wall Street June 1, 2009	Life Stories: Debra Treyz I was overseas for almost four years running JPMorgan Private Bank for the Europe, Middle East and Africa region.
Advisor Today June 2009 Kerry Johnson	How to Sell to Affluent Seniors Affluent seniors account for the plethora of the current explosion in fixed investments. So, who are these affluent seniors, how do they buy and how can you market to them?
Advisor Today June 2009 Brion Collins	The ARRA and What it Means Find out how the American Recovery and Reinvestment Act of 2009 can impact you and your clients.
Financial Advisor June 2009 Jeff Schlegel	Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.
Financial Advisor June 2009 Evan Simonnoff	Questions For Nick Murray Advisors will never again find so many people sitting on so much cash, so desperately in need of help with their retirement plans. This is simply prospecting heaven.
Financial Advisor June 2009 Andrew Gluck	Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking.
Financial Advisor June 2009 Bill Bachrach	Choosing A Coach Eleven keys to choosing the right training and/or coaching program for you.
Financial Advisor June 2009 David Lawrence	The Efficiency Game Integrated software greatly reduces redundant efforts at financial advisories and means staff time will be used more efficiently.
Financial Advisor June 2009 Roy Diliberto	Sharing The Wealth The key to growth and firm longevity is offering ownership opportunities to valuable employees.
Financial Advisor June 2009 Karen DeMasters	Total Service Baystate Financial uses its wide array of services to advise small business owners.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Financial Advisor June 2009 David J. Drucker	Distressed Mortgages A couple of companies have found a way for investors to support the bank bailout process while also helping the almost-homeless.
Financial Advisor June 2009 Marla Brill	ETF Portfolios To Go ETF portfolio management services pitch to financial advisors.
Financial Advisor June 2009 Richard B. Wagner	What Is Wrong With Money? Its features make it unpredictable, mysterious and unreliable.
Financial Advisor June 2009 Evan Simonoff	The Perfect Client Ever since last September, when an ordinary bear market turned vicious and a mild recession became the Great Recession, a certain type of individual keeps surfacing in my thoughts.
Financial Advisor June 2009 Sherri Scordo	Advisor Emporium Genworth Financial Wealth Management is enhancing its investment management platform to help advisors through the current challenging market
Financial Advisor June 2009 Sherri Scordo	Frontline News A consortium of leading financial advisory trade organizations is calling for a professional standards-setting oversight board to establish financial planning standards for the industry.
Bank Systems & Technology June 1, 2009 Katherine Burger	Fiserv Introduces Mobile Money FastTrack to Simplify Delivery of Mobile Banking Services Streamlined version of flagship solution developed to help financial institutions more quickly offer mobile banking services.
Registered Rep. June 1, 2009 David Geracioti	Can You Say, "Morgan Stanley Smith Barney?" The Joint Venture Launches Today The deal merging Citi's brokerage (Smith Barney) with Morgan Stanley's Global Wealth Management Group is closed -- ahead of schedule.
Bank Systems & Technology May 29, 2009 Maria Bruno-Britz	Small Banks Next on Regulators' Stress Test List TowerGroup's Kathleen Khirallah says bank stress tests will become a regular part of the industry and that smaller institutions are not immune.
Bank Systems & Technology May 28, 2009 Maria Bruno-Britz	U.S. Banking Sector One Step Closer to Super Regulator Reports indicate that plans may be in the works to consolidate the current array of financial services regulatory agencies into one body.
Bank Systems & Technology May 28, 2009 Maria Bruno-Britz	U.S. Bank Pilots Multifunction Credit Card The AccelaPay Visa card acts as mag stripe, contactless and ID card.
Registered Rep. May 28, 2009 John Churchill	Big Brands Fall Out of Favor With Wealthy A survey released yesterday of the nation's wealthiest individuals reveals that wealth management's biggest, most powerful brands -- including UBS, Wachovia, Bank of America and Goldman Sachs -- have lost a lot of credibility with their target audience.
Bank Systems & Technology May 27, 2009 Maria Bruno-Britz	Zions Picks S1 for Corporate Banking S1 Corporate Banking will become the online banking solution for Zions Bancorp's commercial clients.
Investment Advisor June 2009 James J. Green	Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive
Investment Advisor June 2009 Russ Diachok	Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.
Investment Advisor June 2009 Robert F. Keane	Directional Advisor Bob Whalen moved to Brewer Financial Services because of the depth of product and open architecture. He expects a lot of other reps to follow suit.
Investment Advisor June 2009 Mike Patton	Temperament & Tools To do the job right, the fiduciary financial planner needs the right temperament, and the right tools. Here's how one advisor does it.
Investment Advisor June 2009 Marlene Y. Satter	Saving Grace You made sure your clients had all the right protection; then insurance became a minefield. What now?
Investment Advisor June 2009 Melanie Waddell	Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way.
Investment Advisor June 2009 Don Schreiber, Jr.	Danger & Opportunity: A Fool's Errand Banks, markets around the world have been rallying, but before celebrating, advisors should look carefully at the underpinnings of the market's rally.
Investment Advisor June 2009 Larry Chambers	Danger & Opportunity: Fear Is Not a Growth Strategy The public is looking for answers, and that alone may be the biggest marketing bonanza for advisors ever.
Investment Advisor June 2009 Jeff Joseph	Venture Populist: Private Practice Advisors could improve their value proposition and their clients' portfolios by developing private venture investing competency.
Investment Advisor June 2009 Marlene Y. Satter	Shelter from the Storm Advisors whose high-net-worth clients have trouble getting coverage for their homes in coastal and other hard-to-insure areas might want to take a look at Privilege Underwriters Reciprocal Exchange (PURE).
Investment Advisor June 2009 James J. Green	Catching Up With: Greg Friedman As of May 1, Greg Friedman's firm, Friedman & Associates, merged with Salient Wealth Management, led by Richard Stone, to form Salient-Friedman Wealth Management LLC.
Investment Advisor June 2009 James J. Green	Numerology: Fund Flows Bounce Back Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013.
Investment Advisor June 2009	Changes People on the move: Debbie McWhinney head of Citi Personal Wealth Management... Lynn Turner named senior advisor and managing director in the forensic accounting practice of LECG... Dennis Klaeser recently joined Raymond James... more...
Investment Advisor June 2009	Group Think Industry association news: Call for legislation to oversee the financial planning profession... New member programs from NAIBD... NAVA has hired Chris Paulitz as Vice President of Communications and Public Affairs...
Investment Advisor June 2009	Upgrades News: Neuberger Berman Group is again majority-owned by its employees... Raymond James Financial is implementing Interactive Data Corp's Market-Q... Charles Schwab lowers fund fees... Sales of variable annuities fell 15% in 2008... more...
Investment Advisor June 2009	Asset Allocation The latest market numbers and asset allocation recommendations from the Investment Advisor panel.
Investment Advisor June 2009 Olivia Mellan	The Psychology of Advice: Getting Your Act Together There is considerable therapeutic value in the ability to 'act as if' you are confident in the midst of a serious setback.
Investment Advisor June 2009 Lewis Schiff	The Affluentialist: Best Practices for Retirement Planning According to an in depth survey of experienced advisors who devoted a significant portion of their practices to retirement planning, demands from clients are driving the evolution of retirement services.
Investment Advisor June 2009 Angela Herbers	The Fast Track: Letting Go Success comes from helping advisors determine what they and their firms do best, and then custom-building a practice to maximize those skills.
Investment Advisor June 2009 Robert F. Keane	The Green Advisor: More On Climate Change Climate change can present some healthy investment opportunities for your clients, even if you don't believe it's real.
Investment Advisor June 2009 Melanie Waddell	Retirement Planning: Warming Up to Annuities Investment advisors are steadily increasing their use of immediate annuities for rollover dollars, according to a recent study by Cerulli Associates.
Investment Advisor June 2009 James J. Green	From the Silver Lining Department While the market performance of the last 18 months (at least until March 9) has hurt just about every investor and advisor across the board, there are some silver linings from the downturn.
Investment Advisor June 2009 Melanie Waddell	Retirement News & Products News on healthcare, target date funds, and insurance.
Investment Advisor June 2009 Elizabeth D. Festa	B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform.
Investment Advisor June 2009 Elizabeth D. Festa	When Less Is More It appears that the best broker/dealers limit the number of investment vehicles on their approved list.
Investment Advisor June 2009	B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more...
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor June 2009 Contributing Writer	Soapbox: Algorithms vs. Arithmetic There are security analysts who have no fear about taking positions in derivatives based on arcane algorithms, but they seem to when it comes to analyzing investments based on commercial and apartment real estate rentals.
Investment Advisor June 2009 Melanie Waddell	SEC's Walters Backs Harmonizing B/D, Advisor Rules Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers.
Investment Advisor June 2009 Larry Chambers	Not Sitting Still If you're busy cutting your advisory firm's marketing budget right now because revenues are down, think twice.
Investment Advisor June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.
Investment Advisor June 2009 Robert F. Keane	About the Planner Facts and figures about Bob Whalen, president of Brewer Financial Services.
Investment Advisor June 2009 Marlene Y. Satter	What's In A Name There are several different classifications of insurance advisors should be aware of.
Investment Advisor June 2009 Marlene Y. Satter	States' Basic Protection While coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of protection are set by most states. Information for advisors follows.
Investment Advisor June 2009 Marlene Y. Satter	A Cautionary Tale Proving the cost basis of annuities can be difficult for advisors if the insurance company is split up, sold, or acquired.
Investment Advisor June 2009 Olivia Mellan	How to Build a Support Network If a client needs a type of support that you can't provide, will you be ready with a referral?
Investment Advisor June 2009 Angela Herbers	Now and Then Bob Reed's decision to build a firm that allowed all its employees to exercise their abilities has led to growth in assets under management and in revenue even during this grinding recession.
Investment Advisor June 2009 Thomas D. Giachetti	Not Just the CCO While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved.
Registered Rep. May 28, 2009 Kristen French	Former Brookstreet Brokers Hit With Fraud Charges Almost two years after their firm imploded, 16 brokers from Brookstreet Securities may have come to justice.
Bank Technology News June 2009 Rebecca Sausner	Breach Sharing Gets Off the Ground The Payments Processing Information Sharing Council (PPISC) helps the payment industry by encouraging companies to share information about breaches, and suggest tools to detect new variants of malicious software.
Bank Technology News June 2009 Michael Sisk	Tapping the Desert Sun With about 325 sunny days per year and an average high temperature of 85 degrees, it's hard to beat rapidly growing, resource-strapped Phoenix, AZ, as an ideal site for solar power.
Bank Technology News June 2009 Daniel Wolfe	Metavante's Affinity for FinanceWorks The recession's hastened vendor consolidation and awakened entire generations of worried consumers who want real-time automated info on their finances.
Bank Technology News June 2009 Steve Bills	New Bling for Alternative Payments "This is definitely an opportunity to shop local," says Meyer Malka, of Bling Nation, a Palo Alto, Ca.-based contactless payments startup that enables the formation of local merchant networks designed to increase payment revenue for institutions by outflanking national card networks.
Bank Technology News June 2009 Michael Sisk	Find and Nurture Your Biggest Fans Banks are focusing their attention on the so-called "advocates" among their clientele; these customers not only buy more products and services, but they also recommend the institution to friends and family.
Bank Technology News June 2009 John Adams	Rebuilding Trust in Mortgage Lenders The bad times that remain in the consumer lending market are partly born of a sense of betrayal - secondary market investors simply no longer trust lenders.
Bank Technology News June 2009 Rebecca Sausner	Remote Cash Capture Catches On The case for remote cash capture can hardly be heard above the din, with related technologies like remote deposit capture, and the ever-rising tide of electronic payments.
Bank Technology News June 2009 John Adams	Madoff Backlash Increases Need For Self-Service Tools Bernie Madoff's journey to jail has had a lot of fallout, including effects on wealth managers who now have a new dynamic on their hands: scared clients with shrinking assets who've also lost faith in the wealth management profession.
Bank Technology News June 2009 John Adams	Are We There Yet? RBC Unifies Data The Royal Bank of Canada's massive data management project, if successful, will be able to implement cost controls, provide a unified view of its customer, and eliminate redundancies.
Bank Technology News June 2009 John Adams	Outsourcing Risk: Possible, But Wise? Risk management is becoming more complex as lenders perform broader due diligence on a higher percentage of borrowers.
Bank Technology News June 2009 David M. Lynch	Virtualization Compliance Can Be Tough Organizations that have embraced virtualization are gaining advantage, and driving real savings to the bottom line.
Bank Technology News June 2009 Tom Johnson	Tech's Not the Primary Problem Factors contributing to the downfall of the financial industry have been discussed ad nauseam and I suspect will continue to be debated well into the future.
Investment Advisor June 2009 Mark Tibergien	Formulas for Success: Clients Have Rights, But Also Responsibilities Advisors and their clients must alter their approach to future relationships.
Investment Advisor June 2009 James J. Green	Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones.
U.S. Banker June 2009 John Engen	Raising the Stakes Capitalizing on the Darwinian dynamics of the financial crisis, PNC acquired a badly hobbled National City late last year for a mere $5.6 billion, or $2.23 per share.
U.S. Banker June 2009 Joseph Rosta	Trying to Rehabilitate Trade Finance World trade is declining this year for the first time since 1982, and by a projected nine percent, according to the World Bank - the steepest plunge since World War II.
U.S. Banker June 2009 Anthony Malakian	Overdraft Anxiety Overdraft fees not only generate significant noninterest income for banks, they help subsidize other services, such as free checking and online bill payment.
U.S. Banker June 2009 Glen Fest	Spinning Turnstile at Goldman Puts Spotlight on TARP Impact One goodbye that really caught attention was that of Byron Trott, vice chairman and managing director of the bank's Chicago office.
U.S. Banker June 2009 Cheyenne Hopkins	Back on the Docket Several Supreme Court justices during oral arguments on a key preemption case appeared to support the Office of Comptroller of the Currency's ability to enforce laws exclusively at national banks.
U.S. Banker June 2009 Glen Fest	Kicking the Buckets: All Users, One Deck In a move expected to be consummated later this year, Harris Bankcorp in Chicago plans to consolidate its online banking for consumer, small business and corporate services onto a single platform through S1 Corp.'s new enterprise online banking suite.
U.S. Banker June 2009 Rebecca Sausner	On the Hunt to Catch the Thief Within As employees and criminals alike react to the financial pressure of the recession. bank fraud is going up dramatically.
U.S. Banker June 2009 Alan Kline	Slow and Steady Wins the Race Banks in areas that never quite boomed, and, therefore, never went bust, are emerging as the industry's stars.
U.S. Banker June 2009 Glen Fest	Taking a New Swipe at Debit Incentives Busey Bank of Champaign, Ill., has given out debit rewards since 2005 to increase incremental revenue from cardholders through interchange, and add-on services, like bill-pay.
U.S. Banker June 2009 Anthony Malakian	Cashing In on Cash When brainstorming over the winter about potential mascots to promote First Arkansas Bank & Trust's children's savings program, the bank's marketing team considered the usual suspects
U.S. Banker June 2009 Anthony Malakian	A Stimulating Development Bankers say that with many of their customers eager to take advantage of tax breaks and other incentives, the flood of money flowing toward green initiatives could create a range of new lending opportunities
U.S. Banker June 2009 Kathy Brister	Counselor Loan-Mod Tool Aids Lenders in a Pinch A software tool conceived as a way to bring faster relief to troubled borrowers now holds promise for aiding the overburdened banks that backed those mortgages.
U.S. Banker June 2009 Steve Garmhausen	Seeking to Solve a 401(k) Riddle SunTrust Banks Inc.'s launch in April of a retirement plan platform for small employers seems like a no-brainer.
U.S. Banker June 2009 Steve Culp	Integrating Risk Management with Financial Performance In addition to regulatory headwinds, U.S. banks will have to face a new vanguard of foreign competitors -- both domestically and abroad.
U.S. Banker June 2009 Davies & Marquez-Garrett	Financial Misconduct Is Not Just a Civil Matter The FBI is shifting more than $75 million in resources from counterterrorism work to help sort through what has been characterized as "the wreckage of the financial meltdown," and financial industry professionals are bracing themselves for the newest wave of recourse: criminal prosecution.
Bank Systems & Technology May 26, 2009 Maria Bruno-Britz	Financial Crisis Will Speed Adoption of Mobile Banking TowerGroup research shows that 2009 will be the year m-banking goes mainstream as consumers seek more immediate access to their financial status.
Bank Systems & Technology May 22, 2009 Maria Bruno-Britz	The Success of Bank M&As Can Hinge on IT Talent Retention It is critical for banks to retain top tech performers during mergers -- and money alone just won't cut it anymore.
Bank Technology News May 2009 Rebecca Sausner	Phone Fraud Advances Biometrics Fighting external fraud has become like whack-a-mole; with the online channel increasingly secure, organized crime has taken to exploiting the weaknesses in the call center
Bank Technology News May 2009 John Adams	Grow Without Getting Big Online account opening's not exactly on the IT frontier, but its potential as a low- cost engine for deposit growth provides a new option for the future of community and regional banks.
Bank Systems & Technology May 21, 2009 Maria Bruno-Britz	J.P. Morgan Offering ISO 20022 Standard-based Payments and Reporting J.P. Morgan's treasury services unit is providing clients with ISO standard to supply richer remittance information and automation.
Bank Systems & Technology May 19, 2009 Maria Bruno-Britz	Whitney National Picks Jack Henry for Enterprise Automation Whitney National Bank will use the SilverLake and ArgoKeys solutions to help it focus more on customer service delivery.
Bank Systems & Technology May 18, 2009 Maria Bruno-Britz	Community Bank Expands NYCE Contract Community Bank System renewed its contract with the NYCE network, making it the exclusive provider of the bank's PIN debit and ATM services.
Bank Systems & Technology May 21, 2009 Maria Bruno-Britz	J.D. Power Report Says Banks Must Address Steady Decline in Customer Satisfaction J.D. Power & Associates' Retail Banking Study found a significant percentage of consumers are dissatisfied with their banks, marking a continued decay over the past three years.
Bank Systems & Technology May 19, 2009 Maria Bruno-Britz	Performance and Productivity Management Key to Banks' Long-Term Survival Banks are starting to exploit new technologies to enable them to monitor employees' performance in a more automated fashion.
Investment Advisor June 2009 Bob Clark	Embracing Change Many clients just aren't comfortable riding out the kind of volatility that most investment markets experience from time to time.
Registered Rep. May 18, 2009 John Churchill	As Wells Fargo Takes Over, Integration at Wachovia and A.G. Edwards Still Faces Hurdles Some financial advisors at what is now the largest retail brokerage firm in the U.S. say the integration of the Wachovia and A.G. Edwards is still incomplete, and leaves much to be desired.
Bank Director 2nd Quarter 2009 Jack Milligan	Scrambling for Solutions Get ready for the mother of all lobbying battles in Washington later this year when the Obama administration starts pushing its reform agenda for financial regulation in the U.S. Congress.
Bank Director 2nd Quarter 2009 L. William Seidman	Will the Fed's Medicine Work? Fed activity is unprecedented -- a new activism never seen before in the history of the United States.
Bank Director 2nd Quarter 2009	To Cut or Not to Cut: the Dividend Dilemma When JPMorgan Chase & Co. slashed its dividend 87% in February, from 38 cents to 5 cents per quarter, it marked one of the last dividend holdouts to crumble in the face of the financial crisis.
Bank Director 2nd Quarter 2009 Paul M. Thomson	Is the Law of Unintended Consequences at Work at the FDIC? The Federal Deposit Insurance Corporation (FDIC) temporarily increased the limit on bank checking and savings deposits to $250,000 per qualified account through 2009.
Bank Director 2nd Quarter 2009 Deborah Scally	Toughing It Out in 2009 The results of the Bank Director/Grant Thornton LLP 16th Bank Executive Survey show that bankers are determined to shore up their foundations and capitalize on strengths to survive the year ahead.
Bank Director 2nd Quarter 2009 John R. Engen	Fear of the Unknown Receiving government funding right now is a little akin to the devil you don't know.
Bank Director 2nd Quarter 2009 Karen Epper Hoffman	Beware the Inside Job In this time of unprecedented layoffs, massive budget cuts, and related merger activity, banks need to be careful of the security threat that lies within their own organization.
Bank Director 2nd Quarter 2009 Deborah Scally	Outlook for M&A: 2009 Interestingly, for some banks, M&A will be a viable -- even attractive -- strategic option.
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