Research Magazine-November 2011

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  • ETF Appetite Increasing

    Ron DeLegge

    More investors are planning to use ETFs, according to a new study from Charles Schwab.

  • Direxion Adjusts ETF Lineup

    Ron DeLegge

    Big changes are coming to the Direxion Shares ETF lineup. The companys Board of Trustees approved alternations to the names and investment strategies for 10 leveraged funds.

  • My Lunch with Professor Menahem Yaari

    Moshe A. Milevsky

    Menahem Yaari is an emeritus professor of economics at Hebrew University of Jerusalem and past president of the Israeli Academy of Sciences. He retired from active teaching over a decade ago, but continues to lecture widely and address scholarly conferences around the world. Amongst his many accomplishments and honors, he...

  • Blocking and Tackling

    Bill Good

    Since my July piece in Research, I have been focusing on best practices. Any treatment of best practices must include blocking and tackling a sports metaphor that is well-defined by marketing and innovation expert John Caddell as meaning work thats not glamorous but is important. While there are several...

  • Raymond James Hosts Women’s Conference, Shares Growth Plans

    Janet Levaux

    (St. Petersburg, Fla.) Raymond James executives discussed a new training program, series of womens conferences and other steps to keep the company on a controlled growth path during the firms annual Womens Symposium held in St. Petersburg, Fla., in late September. Most of our effort is put on...

  • A Lost Decade for Advisors?

    Gerald Burstyn

    It has been called the Lost Decade for stocks, the period from January 2000 to December 2009 that saw the stock market decline for the first time since the decade that started in the 1930s.

  • Making Tax Savvy Choices

    Ron DeLegge

    Tax efficiency has long been sold as among the greatest advantages of ETF investing. Although that may have been true ten years ago, when most ETFs were linked to traditional stock and bond indexes, it isnt necessarily true anymore.

  • The Great Retirement Rethink

    Ellen Uzelac

    Retirement was once such a tidy thing. You worked, you saved, you retired. Not anymore. As an affluent investor in a new study by Hearts & Wallets puts it: I dont think retirement is the buzzword it once was. Okay, yeah right, retirement. Okay, yeah right, Ill win the lottery....

  • Economic Jump-Start

    Alexei Bayer

    The principle of homeopathic medicine is to let like be cured by like: treat an illness by giving patients minute quantities of medicines that produce the same symptoms. But treating indigestion with a 10-course meal is not a good idea. This is why throwing borrowed funds at the current economic...

  • Measured Pace

    Jane Wollman Rusoff

    Back in 1976, while other teenagers had started obsessing over the newest style of music, punk rock, 16-year-old Louis M. Ricciardi was grooming himself to be a financial advisor. Hipping classmates to the Rule of 72, he was touting the benefits of investing at a young age.

  • Building Value That Lasts

    Ed McCarthy, CFP, RICP

    Corporate sustainability is beneficial for both managers and investors. According to Dow Jones, corporate sustainability is a business approach that creates long-term shareholder value by embracing opportunities and managing risks deriving from economic, environmental and social developments.

  • Making the Most of a Mentor

    Jane Wollman Rusoff

    Financial advisors-in-training must be ambitious, gutsy and thrive on hard work. Thats just for starters. And who is best qualified to guide these rookies on their challenging journey to profit and prosperity? Somebody whos walked miles and miles in their shoes: in other words, a caring mentor.

  • UBS Sees Leaders Exit, Expects Profit

    Janet Levaux

    UBS said in early October that the co-heads of its global-equities unit resigned in response to the unauthorized trading that caused a $2.3 billion loss at the bank in mid-September. A former Bank of America-Merrill Lynch executive is now the sole leader of the unit. These shifts come on the...

  • Crisis or Not, European Notes Launch

    Ron DeLegge

    Despite increasing credit risk to European banks, some firms introduced exchange-traded notes (ETNs). ETNs are debt obligations tied to the performance of an index, currency or commodity.

  • The Lessons of Starvation Economics

    Gil Weinreich

    The U.S. economy was worse off before now, worse even than in the Great Depression. In 1620, when our Pilgrim Forefathers arrived in Plymouth, Massachusetts, per capita GDP was nearly zero. Of Plymouth Plantation, William Bradfords journal of those early years, records the economic scarcity prevailing at the time:

  • Northern Trust Returns

    Ron DeLegge

    After exiting the ETF business in early 2009, Northern Trust is back. In September, the Chicago-based investment firm introduced four ETFs known as FlexShares.

  • Johnson Is New ICI Chairman

    Janet Levaux

    The Investment Company Institute's Board of Governors elected Gregory Johnson, president and CEO of Franklin Resources, as ICI chairman for a one-year term, the group said in early October. In addition, the ICI membership elected a slate of governors to serve through the fall of 2014: James Boyle, president of...

  • The Power of No Power

    Bill Miller

    Any successful financial advisor will tell you they are always looking at ways to meet new potential clients. The problem is, after a while, youve pretty much tried every possible method of prospecting known to man. As sometimes happens with me, Ill be standing there minding my own business when,...

  • Guggenheim Absorbs Rydex

    Ron DeLegge

    Guggenheim Partners is folding rydex SGI into its ETF asset management group. Combined together, the firm will have approximately $119 billion under management.

  • Funds Decline Nearly 17.5 percent in Q3’11

    Janet Levaux

    In the third quarter of 2011, equity funds posted declining results for the second quarter in a row and dropped 17.44 percent, reports Lipper, with world-equity funds (20.44 percent) trailing three other broad Lipper categories: mixed-equity funds (10.08 percent), U.S. diversified-equity funds (16.67 percent) and sector-equity Funds (15.36 percent). The...

  • Balanced-Fund Returns Stable Over Time

    Janet Levaux

    Average returns for funds with an equal mix of stock and bond allocations have historically been statistically equivalent during recessions and expansions, according to a Vanguard report released in early October that focused on balanced funds historical performance from 1926 through June 2009. The reason for this performance record, Vanguard...

  • Krawcheck Legacy Assured

    Janet Levaux

    As firms like Raymond James endeavor to boost the ranks of women in the brokerage business, their executives and advisors say the Sallie Krawcheck story, despite her recent layoff from Bank of America-Merrill Lynch, remains a powerful one. She has played in the big league at several firms [such as...

  • Morningstar Adds Rankings

    Ron DeLegge

    Morningstar plans to launch rankings and research on ETF managed portfolios later this year. Morningstar made the announcement at its second annual ETF Invest Conference in Chicago.

  • Solid Prospects

    Ed McCarthy, CFP, RICP

    Metals mining stocks are an option for investors who want to combine exposure to the metals price movements with an equity position in an underlying business, which one of the worlds top gold experts, Frank Holmes of US Global Investors recently stressed.

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