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Nontraditional Asset Classes Favored By Some

December 4, 2010

Although numerous institutional investors are seeking market neutral opportunities; some emerging investments may be subject to the Investment Company Act

IPO’s Controlled by The Majors

November 21, 2010

Although the opinions regarding making certain recent IPO shares available within the public domain may differ, institutional investors play a significant role in the capital access process. Capital procurement can impact the future of long term growth. Recent IPO’s of several large issuers may attribute to moderate economic growth in the short run. This is likely to help restore U.S. investor confidence, which is certainly a move in the right direction.

Educating Participants on Fees, a Win for 401(K) Plan Custodians

October 24, 2010

Major players within the 401(K) space anticipate an expansion in market share. By effectively communicating new required fee disclosures through the utilization of enhanced web based technology and consolidated participant statements, large custodians expect to increase pension assets under management.

Watch Your Own Retirement Savings Plan

September 11, 2010

Volatile markets are primary concerns. Lack of planning and failure to implement may be far more detrimental.

More Work Ahead For Credit Rating Agencies

September 1, 2010

The conduct of SEC registered credit rating agencies is expected to be closely monitored going forward.

Entertainment Sector Capturing the Interest of Private Equity Groups

July 4, 2010

Film tax benefits, including credits and federal deductions are proving to be an attractive incentive for investors.

Alternative Investment Strategies Becoming More Prevalent

July 4, 2010

Current volatility within the capital markets may provide strategic opportunities for those well positioned to take on current economic risk factors.

Healthcare Reform Expected to Benefit Major Players

June 27, 2010

With programs such as Medicare needing funding associated with an aging population; the underinsured and uninsured facing barriers preventing the procurement of coverage, new reforms soon to become regulation, are likely to give way to managed care giants obtaining substantial market share.

Brokers To Face New Obligations as Fiduciary Debate Comes to an End

June 20, 2010

With Wall Street backing a uniform fiduciary industry standard, registered personnel at brokerage firms must govern their operations and marketing practices accordingly.

Average Investor Sentiment Uneasy, Despite News of Economic Recovery

April 28, 2010

Analysis of:Discerning Trends and Fluctuations From Direction and Volatility | people-press.org

The condition of our U.S. economy has been far from easy for average America at best. Not only has there been a proliferation of job obsolescence, but many individuals considered to be normal retail investors who had done a reasonably good job of saving and investing, fell victim to the perils of Wall Street, which for some led to extremely unfavorable outcomes. Unfortunately, recovery will take some time for "Main Street"

Charities, Endowments and Foundations Forced to Revaluate Asset Preservation

April 26, 2010

Given the current challenges in the capital markets, management and officers of grant makers, must be proactive in taking appropriate measures to ensure that the investment assets of their organization can endure market volatility. Additionally, it is imperative that these organizations mandate, institute and implement procedures that can ultimately attribute to their continuity.

New Rules on Pooled Mortgage Securities Proposed

April 20, 2010

With the complexities of mortgage backed instruments, investors need to be fully informed through suitability, proper disclosure and other pertinent information, so as to be able to make decisions that are in accordance with their objectives.

SEC to Monitor Collective Investment Trusts

April 19, 2010

Increased oversight may need to be considered in the offering of collective investment trusts, so that prospective investors can be provided with additional safeguards and to ensure that those offering the funds are held to a proper fiduciary standard.

New Regulations Possible for Exchange Traded Funds

April 17, 2010

Analysis of:FINRA Mulls New ETF Regulations | www.emii.com

The Securities and Exchange Commission has indicated it intends to closely examine the approval of exchange-traded funds (ETF's) that use derivatives.

Wall Street Hit By Goldman Fall Out

April 16, 2010

Increased financial regulation may surface, as concerns expressed regarding the nature and timing of securities selection, disclosure and how third party interests could impact investors.

SEC Proposal Aims to Monitor Market Participants in High Volume Trading

April 15, 2010

Proposed Rule 13h-1 may ultimately assist the Commission in the identification process of substantial trading volume, possibly attributing to an increase in overall market transparency, facilitating the Commission in its efforts to examine the effects that large scale trades have on securities markets.

Early Cancer Detection Company Looks to Boost Technology.

April 10, 2010

Analysis of:Biomoda Announces up to $2.0 Million Private Placement | eon.businesswire.com

New money expected to spur growth with emerging cancer diagnostics company.

Plan Sponsors May Face New Fiduciary Responsibilities

December 7, 2009

Analysis of:401(k) response to be automatic | www.pionline.com

Plan sponsors need to increase their educational efforts and may find it prudent to engage an outside investment advisory firm as well as competent legal counsel so as to assume and delegate fiduciary responsibility for the advice provided on behalf of the plan, as well as plan participants and beneficiaries, ensuring that suitable guidance is provided with respect to guidelines pursuant to ERISA law.

New Estate Tax Law Proposal Appears Reasonable

December 4, 2009

Analysis of:Extending The Estate: The Battle Heats Up | www.financial-planning.com

The majority of average U.S. American estates will not be affected as a result of the proposed estate tax law change. The current proposal should facilitate the planning process for those who may be facing possible estate tax liability issues.

2010 Debut Of U.S.Capital Market Performance May Still Prove Highly Uncertain

November 30, 2009

Analysis of:Hopes for 2010 Overshadow Weak Earnings Session | onlinebarrons.com

Concerns over economic recovery are likely to be a driving factor that may attribute to continued volatility within the capital markets over the next several cycles. Although uncertainty is a given, investors may benefit during market cycles by examining price variances on actively traded securities that have moved from recent highs. Taking long positions within sectors contributing to global economies of scale may enhance capital appreciation.

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