Subject Root Tag

Here are the photos of the people who attended Money Management Executive's 2011 NOVA Awards presentation -- and the 2011 NOVA Awards winners. Below, see Doug Chittendon, President of TIAA-CREF, accepting the Innovation in Customer Experience Platinum Award from SourceMedia EVP and Managing Director Bruce Morris. For the complete slide show, click here.

Great-West Retirement Services has launched a marketing campaign this week to participate in the National Save for Retirement Week.

The Securities and Exchange Commission has designated the Financial Industry Regulatory Authority as the agency to develop and maintain the system for hedge fund advisors to to receive new registration forms for hedge fund advisers and established a filing fee of $150.

Vanguard announced that the small 401(k) plan service that it introduced last month for plans of up to $20 million in assets under management has been receiving a great deal of interest, particularly the platform’s concentration on low-cost index and target-date funds, and its “all-in” plan fees that include investment, recordkeeping and administration costs.

Ashmore Investment Management, an emerging markets specialist headquartered in London, has introduced the Emerging Markets Small Cap Equity Fund.

Congress is currently considering a bill that would permit 401(k) investors in danger of losing their primary home to foreclosure to use up to $50,000 or 50% of the balance, whichever is less, to prevent that from happening.

EDGAR Online Inc., a global provider of XBRL (eXtensible Business Reporting Language) software, services and data, reports that it experienced a 280% year-over-year increase in XBRL filings in the third quarter.

Ashmore Investment Management, an emerging markets specialist headquartered in London, has introduced the Emerging Markets Small Cap Equity Fund.

The SEC has designated FINRA as the agency to develop and maintain the registration system for hedge fund advisors.

Congress is currently considering a bill that would permit 401(k) investors in danger of losing their primary home to foreclosure to use up to $50,000 or 50% of the balance, whichever is less, to prevent that from happening.

Sometimes it's the little things that make all the difference. If you’re like most financial advisors, you are ultra-busy serving your clients and generating new business. But have you handled the marketing fundamentals? Columnist and marketing expert Marie Swift delves into two marketing fundamentals that should not be ignored: the power bio and the prospect profile. Ignore them and suffer the consequences.

Trust and customer service are the most important reasons why clients opt to work with registered investment advisors, according to TD Ameritrade’s latest RIA survey.

Investors withdrew $5 billion from U.S. stock and bond long-term funds in September, Strategic Insight reports. This was a "significant improvement" from August, when open-end and closed-end mutual funds (excluding ETFs and VA sub-accounts) were hit with $33.6 billion in outflows following the downgrade of the U.S. debt rating.

Mutual fund managers prided themselves on sticking to their investment mandates early on in the financial crisis of 2008. This, even as the average U.S. stock fund fell nearly 30% in value. They counseled investors to do the same. Three years later, there is a new direction for funds: the flexibility to go anywhere, to pay closer attention to macroeconomic and market trends, and to even hunker down in cash.

Prudential Financial has named David A. Hunt chief executive officer of Prudential Investment Management, in charge of all of its asset management businesses-including public fixed income, real estate, public equity, private fixed income, mutual fund and wealth management business. Hunt will start his position Nov. 9.

Thirty years ago,Russell Investments changed the landscape of how fund firms could evaluate managerial performance, by launching broad benchmarks of stock performance in the United States.

Wall Street high rollers are expecting big bonuses at year-end -- especially hedge fund managers and executives at boutique banks.

For the second time in two years, the watchdog for broker-dealers is warning traders they are obligated to send clients accurate indications of interest.

Stocks had a strong showing this week and gained 541.37 points, or 4.88%. Blue chips gained 166.36 points on Friday.

Even with proposed regulation to the financial advisory industry still pending, several industry members at this week's Women Advisors Forum conference were certain about two things: the SEC should have expanded oversight and the industry will bear more costs.