John A. Haslem

University of Maryland - Robert H. Smith School of Business

Professor Emeritus of Finance

5901 MacArthur Blvd NW 124

Washington, DC DC 20016

United States

University of Maryland - Robert H. Smith School of Business

Professor Emeritus of Finance

College Park, MD 20742

United States

SCHOLARLY PAPERS

156

DOWNLOADS
Rank 2,288

SSRN RANKINGS

Top 2,288

in Total Papers Downloads

22,048

SSRN CITATIONS
Rank 3,098

SSRN RANKINGS

Top 3,098

in Total Papers Citations

84

CROSSREF CITATIONS

345

Ideas:
“  Mutual Fund articles & books & chapters Banking & Investing (pre-1999)  ”

Scholarly Papers (156)

1.

Information Needs of Individual Investors

Journal of Accountancy, pp. 64-69, November 1973
Number of pages: 7 Posted: 04 Feb 2013 Last Revised: 04 Jul 2015
H. Kent Baker, John A. Haslem and John A. Haslem
American University - Kogod School of Business and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 1,724 (15,527)
Citation 1

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Book: Mutual Funds: Risk and Performance Analysis for Decision Making

Mutual Funds: Risk and Performance for Decision Making, 578 pp. Oxford, UK: Blackwell Publishing Ltd., 2003
Number of pages: 595 Posted: 05 Aug 2015 Last Revised: 15 Aug 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 869 (41,674)

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Mutual Funds: Risk and Performance Analysis for Decision Making

Number of pages: 14 Posted: 21 Mar 2012 Last Revised: 15 Aug 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 125 (339,180)
Citation 28

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Identification and Performance of Equity Mutual Funds with High Management Fees and Expense Ratios

Journal of Investing, Vol. 16, No. 2, pp. 32-51, Summer 2007
Number of pages: 20 Posted: 24 May 2008 Last Revised: 28 Feb 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 722 (53,463)
Citation 1

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actively managed, equity mutual funds, management fees, expense ratios, associations with performance

Identification and Performance of Equity Mutual Funds with High Management Fees and Expense Ratios

Number of pages: 41 Posted: 20 May 2012 Last Revised: 29 Feb 2016
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 177 (255,247)
Citation 1

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mutual funds, expense ratios, price competition, management fees, performance measures, active vs. passive portfolios, fiduciary duty

4.

Exchange-Traded Funds: Nature, Developments, and Implications

Brian R. Bruce, ed., Exchange-Traded Funds II: New Approaches and Global Outreach. New York, NY, Institutional Investor, Fall 2003, pp.116-126.
Number of pages: 11 Posted: 12 Jun 2008 Last Revised: 16 Aug 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 894 (40,663)

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exchange-traded funds, mutual funds, nature of ETFs, warehouse receipts, organization, regulation, exchange trading, direct exchange mechanism, tax-free exchanges, arbitrage, benchmarking market indexes, tax efficiency, distributions, advantages, disavantages, risk types, major ETFs, VIPERS, future

5.
Downloads 771 (49,709)
Citation 3

The New Reality of Financial Advisors and Investors

Number of pages: 34 Posted: 14 Jan 2010 Last Revised: 15 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 492 (87,381)

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financial advisors, investors, financial crisis, legal issues, fiduciary duties, buy-and-hold, Black Swan Event, alternative investments, hedge risk, investor characteristics, broker accounts, advisor accounts, behavioral finance

The New Reality of Financial Advisors and Investors

Journal of Investing, Vol. 19, No. 4, pp. 23-30, Winter 2010
Number of pages: 8 Posted: 30 Nov 2010 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 279 (165,367)
Citation 1

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financial advisors, brokers, legal issues, financial duties, financial crisis, buy-and-hold, black swan event, alternative investments, hedge funds, financial advisor accounts, direct-sold funds, broker-sold funds, behavioral finance

6.

Performance and Characteristics of Actively Managed Retail Mutual Funds with Diverse Expense Ratios

Financial Services Review, Vol. 17, No. 1, pp. 49-68, Spring 2008
Number of pages: 20 Posted: 08 Jul 2008 Last Revised: 11 Mar 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 576 (72,591)

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mutual funds, retail actively managed funds, expense ratios, performance, expense ratio class, characteristics, larger vs. smaller funds

7.

The Impact of Investor Socioeconomic Characteristics on Risk and Return Preferences

Journal of Business Research, Vol. 2. No. 4, pp. 469-476, October 1974
Number of pages: 8 Posted: 21 Apr 2015 Last Revised: 25 Jul 2015
H. Kent Baker, John A. Haslem and John A. Haslem
American University - Kogod School of Business and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 543 (78,180)

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8.

Concepts of Bank Funds Management

Bankers Magazine, Vol. 165, No. 3. pp. 92-97, May-June 1982
Number of pages: 8 Posted: 07 Jun 2015 Last Revised: 28 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 540 (78,690)

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Performance and Characteristics of Actively Managed Institutional Equity Mutual Funds

Number of pages: 36 Posted: 23 Apr 2008 Last Revised: 29 Feb 2016
H. Kent Baker, John A. Haslem, John A. Haslem and David M. Smith
American University - Kogod School of Business, University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and State University of New York at Albany - School of Business
Downloads 457 (95,492)
Citation 3

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mutual funds, institutional actively managed, economies of scale, fund performance and characteristics, expense ratios, active alpha

Performance and Characteristics of Actively Managed Institutional Equity Mutual Funds

Journal of Investing, Vol. 18, No. 1, pp. 27-44, Spring 2009, https://doi.org/10.3905/JOI.2009.18.1.027
Posted: 22 May 2019
H. Kent Baker, John A. Haslem, John A. Haslem and David M. Smith
American University - Kogod School of Business, University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and State University of New York at Albany - School of Business

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performance characteristics, actively managed institutional mutual funds, expense ratio class, Miller active alpha, 12b-1 fees, deferred loads, management fees, portfolio turnover, institutional investors, beta, dividend yield

10.
Downloads 449 (98,381)
Citation 10

Issues in Mutual Fund Distribution

Number of pages: 91 Posted: 29 May 2012 Last Revised: 28 Aug 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 449 (97,454)
Citation 10

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mutual fund distribution, multiple share classes, channels of distribution, fund flow, fund services, transparency, agency conflicts, expense shifting

Issues in Mutual Fund Distribution

Journal of Wealth Management, Vol. 18, No. 4, pp. 36-58, Spring 2016, https://doi.org/10.3905/jwm.2016.18.4.036
Posted: 20 May 2019 Last Revised: 28 Sep 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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11.
Downloads 411 (109,120)
Citation 1

Selected Topics in Financial Literacy

Number of pages: 38 Posted: 11 Nov 2013 Last Revised: 05 Apr 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 411 (108,085)
Citation 1

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financial literacy, human capital, decision making, financial knowledge, financial education, financial outcomes, cognition, intuition, dual process theory

Selected Topics in Financial Literacy

Journal of Wealth Management, Vol.17, No. 3, pp. 47-57, Winter 2014, Robert H. Smith School Research Paper No. RHS 2515891, https://doi.org/10.3905/jwm.2014.17.3.047
Posted: 20 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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financial literacy, financial education, retirement, retail investors, financial knowledge, financial outcomes, human capital, psychology research, investment decisions, intuition, cognition, informed financial decisions, income, education

Book: Mutual Funds: Portfolio Structures, Analysis, Management, and Stewardship

John A. Haslem, ed. Mutual Funds: Portfolio Structures, Analysis, Management, and Stewardship, 358 pp. Hoboken,NJ: John Wiley & Sons, 2010
Number of pages: 362 Posted: 14 Dec 2009 Last Revised: 15 Aug 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 235 (196,446)

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mutual funds, future design,normative transparency, stewardship, funds/ETFs, classic/enhanced index funds, actively managed/index funds, M-Star analysis, asset allocation, index funds, active/passive, financial markets, fees/expenses, fund economics, regulation, nature of funds

Mutual Funds: Portfolio Structures, Analysis, Management, and Stewardship

Number of pages: 12 Posted: 21 Jul 2015 Last Revised: 15 Aug 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 172 (261,769)
Citation 1

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Data Envelopment Analysis of Morningstar's Large-Cap Mutual Funds

Journal of Investing, Vol. 12, No. 4, pp. 41-48, Winter 2003
Number of pages: 8 Posted: 26 Jun 2008 Last Revised: 23 Jan 2015
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 314 (146,029)

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mutual funds, Morningstar large-cap funds, DEA performance efficient/inefficient, value style, growth style

Data Envelopment Analysis of Morningstar's Large-Cap Mutual Funds

Number of pages: 19 Posted: 13 Jun 2012 Last Revised: 14 Oct 2012
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 77 (469,126)

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DEA, mutual funds, Morningstar, performance efficient & inefficient, value v. growth

14.

Performance and Characteristics of Actively Managed Retail Equity Mutual Funds with Diverse Expense Ratios

Number of pages: 30 Posted: 12 May 2008 Last Revised: 02 Oct 2018
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 380 (119,315)
Citation 12

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mutual funds, actively managed retail, performance, characteristics, expense ratios

15.
Downloads 373 (121,904)
Citation 5

Assessing Mutual Fund Expenses and Transaction Costs

Journal of Investing, Vol. 15, No. 3, pp. 52-56, Fall 2006
Number of pages: 5 Posted: 13 Jun 2008 Last Revised: 01 Oct 2012
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 234 (197,247)
Citation 1

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mutual funds, disclosure, total expense ratio, brokerage commissions, implicit trading costs, expense effectiveness, breakeven rate of return

Assessing Mutual Fund Expenses and Transaction Costs

Number of pages: 20 Posted: 05 Sep 2012 Last Revised: 01 Mar 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 139 (312,568)
Citation 1

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mutual fund, total expense ratio, expense effectiveness, breakeven rate of return, brokerage commissions, implicit trading costs, S&P 500 index fund

The 'Many Faces' of Mutual Fund Revenue Sharing

Number of pages: 55 Posted: 28 Aug 2012 Last Revised: 01 Nov 2014
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 364 (124,368)
Citation 6

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mutual funds, directed brokerage, revenue sharing, 12b-1 fees, direct distribution, indirect distribution, defensive 12b-1 plans, courts and excessive fees, regulation

The 'Many Faces' of Mutual Fund Revenue Sharing

Journal of Index Investing, Vol. 5, No. 3, pp. 59-72, Winter 2014, Robert H. Smith School Research Paper No. RHS 2533527, https://doi.org/10.3905/jii.2014.5.3.059
Posted: 22 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, revenue sharing payments, regulation, opacity, direct distribution, directed brokerage, 12b-1 fees, defensive 12b-1 fees, 401(k) plans, Schwab, Edw, Jones, SEc, Morgan Stanley

17.
Downloads 355 (128,844)
Citation 1

Valuation of Stocks with Prospects of Dividend Growth

Journal of Investing, Vol. 11, No. 1, pp., 64-68, Spring 2002
Number of pages: 5 Posted: 13 Jun 2008 Last Revised: 30 Sep 2012
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 286 (161,057)

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Williams, Brigham & Pappas, dividend growth models, dividend growth pattern, dividend growth rate, stock valuation

Valuation of Stocks with Prospects of Dividend Growth

Number of pages: 12 Posted: 16 Jun 2012 Last Revised: 30 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 69 (499,286)

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stock dividend growth models, Williams model, Brigham-Pappas models, life-cycle concept

Institutional S&P 500 Index Mutual Funds as Financial Commodities: Fact or Fiction?

Number of pages: 26 Posted: 23 Apr 2008 Last Revised: 03 Mar 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 221 (208,502)

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mutual funds, institutional index, financial commodity, price competition, minimum initial purchase

Institutional S&P 500 Index Mutual Funds as Financial Commodities: Fact or Fiction?

Journal of Investing, Vol. 17, No. 2, pp. 24-34, Summer 2008
Number of pages: 11 Posted: 15 Jun 2008 Last Revised: 27 Jul 2016
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 113 (365,315)

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mutual funds, S&P 500 Index funds, financial commodities, price competition, expense ratio, performance, characteristics, standard deviation classes, retail index funds, 12b-1 fees, uninformed investors

19.
Downloads 309 (149,425)
Citation 1

Normative Transparency of Mutual Fund Disclosure

Number of pages: 51 Posted: 14 Mar 2008 Last Revised: 31 Jan 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 250 (184,871)
Citation 1

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mutual funds, disclosure, transparency,12b-1 fees, soft dollars, expense ratio, regulation

Chapter 17: Normative Transparency of Mutual Fund Disclosure

John A. Haslem,ed., Mutual Funds: Portfolio Structures, Analysis, Management, and Stewardship, pp. 319-335. Hoboken, NJ: John Wiley & Sons, 2010., Robert H. Smith School Research Paper No. RHS 2545093
Number of pages: 26 Posted: 06 Jan 2015 Last Revised: 09 Dec 2018
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 59 (541,814)

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mutual funds, 40Act, normative transparency of disclosure, total expense ratio. Congress, SEC, regulatory disclosure

20.

A Discriminant Analysis of Commercial Bank Profitability

Quarterly Review of Economics and Business, Vol. 11, No. 3, pp. 39-49, June 1972
Number of pages: 9 Posted: 27 May 2015 Last Revised: 14 Jul 2015
John A. Haslem, John A. Haslem and William Longbrake
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Independent
Downloads 278 (166,857)

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21.

A Credit Scoring Model for Commercial Loans: Comment

Journal of Money, Credit, and Banking, Vol. 4, No. 3, pp. 733-734, August 1972
Number of pages: 3 Posted: 21 Oct 2012 Last Revised: 15 Jul 2015
John A. Haslem, John A. Haslem and William Longbrake
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Independent
Downloads 276 (168,083)

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22.

Performance and Characteristics of Retail S&P 500 Index Mutual Funds

Number of pages: 12 Posted: 13 Jun 2008 Last Revised: 02 Mar 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 257 (180,527)
Citation 1

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mutual funds, retail index funds, performance, characteristics, expense ratio, 12b-1 fees, Sharpe index, Jensen alpha

23.
Downloads 252 (184,141)
Citation 8

Are Mutual Fund Expenses Too High? A Commentary

Journal of Investing, Vol. 13, No. 2, pp. 8-12, Summer 2004
Number of pages: 5 Posted: 12 Jun 2008 Last Revised: 03 Feb 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 207 (221,755)

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mutual funds, price competition, economies of scale, management fees, share class funds, 'mutual' mutual fund management, supermarket distribution, fund expenses, fund characteristics

Are Mutual Fund Expenses Too High? A Commentary

Number of pages: 8 Posted: 19 Jun 2012 Last Revised: 01 Mar 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 45 (613,118)
Citation 1

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mutual fund expeneses, non-price competition, economies of scale, multiple share classes, management fees, mutual mutual funds, distribution, supermarkets, investment style

Data Envelopment Analysis of Morningstar's Small-Cap Mutual Funds

Journal of Investing, Vol. 15, No. 1, pp. 87-92, Spring 2006
Number of pages: 6 Posted: 09 Jun 2008 Last Revised: 31 Dec 2014
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 203 (225,783)

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Data Envelopment Analysis of Morningstar's Small-Cap Mutual Funds

Number of pages: 18 Posted: 27 Jun 2012 Last Revised: 01 Mar 2016
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 41 (636,697)

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small-cap mutual funds, DEA, conservative portfolio investment style, value style, input-output variables, descriptive variables, efficiency

Mutual Funds and Investor Choice: Paths to the 'Wizards of Advertising and Overconfidence'

Journal of Indexes, Vol. 13, No. 6, pp. 42-44, 58, November/December 2010
Number of pages: 4 Posted: 21 Oct 2010 Last Revised: 16 Aug 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 122 (345,399)

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Mutual Funds, Sophisticated Investors, Overconfidence, Unsophisticated Investors, Fund Advertising, Financial Literacy, Revealed Preferences, Investor Choice, Advertising as Persuasion

Mutual Funds and Investor Choice: Paths to the 'Wizards of Advertising and Overconfidence'

Number of pages: 21 Posted: 09 Jun 2010 Last Revised: 14 Oct 2012
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 121 (347,538)
Citation 3

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Mutual Funds, Advertising, Investment Skill, Sophisticated Investors, Unsophisticated Investors

26.

A Statistical Analysis of the Relative Profitability of Commercial Banks

Journal of Finance, Vol. 23, No. 1, pp. 167-176, March 1968
Number of pages: 11 Posted: 07 Oct 2012 Last Revised: 10 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 232 (199,571)
Citation 1

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Investor Learning and Mutual Fund Advertising and Distribution Fees

Number of pages: 19 Posted: 18 Sep 2009 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 227 (203,151)
Citation 4

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mutual funds, advertising, 12b-1 fees, distribution fees, regulation, normative transparency of disclosure, new total expense ratio

Investor Learning and Mutual Fund Advertising and Distribution Fees

Journal of Investing, Vol. 18, No. 4, pp. 53-56. Winter 2009, https://doi.org/10.3905/JOI.2009.18.4.053
Posted: 22 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, front-end loads, sales commissions, operating expenses, advertising, 12b-1 fees, ordinary investirs, fund flow, management fees, economies of scale, distribution fees, brokers, New Total Expense ratio, agency conflicts, revenue sharing, soft dollars, fund adviser

28.
Downloads 217 (212,638)
Citation 3

Identifying Mutual Fund Stewardship

Number of pages: 28 Posted: 23 Apr 2008 Last Revised: 09 Dec 2018
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 178 (254,034)
Citation 1

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mutual funds, stewardship funds, normative transparency, disclosure, regulation

Chapter 16: Identifying Mutual Fund Stewardship

John A.Haslem, ed., Mutual Funds: Portfolio Structures, Analysis, Management, and Stewardship, pp. 305-317. Hoboken, NJ: John Wiley & Sons, 2010
Number of pages: 17 Posted: 06 Jan 2015 Last Revised: 09 Dec 2018
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 39 (648,947)

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mutual fund scandals, transparency of normative disclosure, identification of stewardship funds, stewardship quotient, M* stewardship grades

29.

An Empirical Analysis of the Risk-Return Preferences of Individual Investors

Journal of Financial and Quantitative Analysis, Vol. 12, No. 3, pp. 377-389, September 1977
Number of pages: 14 Posted: 21 Oct 2012 Last Revised: 24 Oct 2012
H. Kent Baker, Michael Hargrove, John A. Haslem and John A. Haslem
American University - Kogod School of Business, Independent and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 215 (214,450)

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30.

Morningstar's Classification of Large-Cap Mutual Funds

Journal of Investing, Vol. 10, No. 1, pp. 79-84, 87-89, Spring 2001
Number of pages: 11 Posted: 12 Jun 2008 Last Revised: 28 Feb 2016
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 209 (220,266)

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mutual funds, Morningstar large-cap funds, cluster analysis, value clusters, growth cluster, diversification, risk, risk/return performance

31.
Downloads 195 (234,488)
Citation 1

Sentiment Issues in Stock Prices and Mutual Funds

Number of pages: 26 Posted: 14 Dec 2013 Last Revised: 09 Jan 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 195 (234,162)
Citation 1

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investor sentiment, stock prices, mutual funds, sentiment-level index, sentiment-changes index, sentiment risk, sentiment contrarian behavior, market-risk premium, sentiment-beta portfolios, business cycle variables

Sentiment Issues in Stock Prices and Mutual Funds

Journal of Wealth Management, Vol. 17, No. 4, pp. 43-49, Spring 2015 , Robert H. Smith School Research Paper No. RHS 2558458, https://doi.org/10.3905/jwm.2015.17.4.043
Posted: 20 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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behavioral finance, investor sentiment, stocks, mutual funds, sentiment risk, sentiment index, sentiment-beta portfolios, market risk

32.
Downloads 193 (236,605)
Citation 1

Mutual Fund Arbitrage and Transaction Costs

Number of pages: 24 Posted: 15 May 2008 Last Revised: 02 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 193 (236,334)
Citation 1

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mutual funds, frequent trading, time zone arbitage, transaction costs, independent director watchdog failure, regulation

Mutual Fund Arbitrage and Transaction Costs

Journal of Investing, Vol. 18, No. 2, pp. 57-61, Summer 2009, https://doi.org/10.3905/JOI.2009.18.2.057
Posted: 22 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, advisers, frequent trading, frequent trading arbitrage, late trading arbitrage, transaction costs, fiduciary duty, opportunity costs of dilution

Mutual Fund Portfolio Manager Structures: Attributes, Implications, and Performance

Number of pages: 45 Posted: 04 Feb 2013 Last Revised: 25 Apr 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 189 (240,828)

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Mutual Fund Portfolio Manager Structures: Attributes, Implications, and Performance

Journal of Wealth Management, Vol. 19, No. 4, pp. 115-127, Spring 2017, Robert H. Smith School Research Paper No. RHS 2918185, https://doi.org/10.3905/jwm.2017.19.4.115
Posted: 20 May 2019 Last Revised: 17 Sep 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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Are Retail S&P 500 Index Funds a Financial Commodity? Insights for Investors

Financial Services Review, Vol. 15, No. 2, pp., 99-116, Summer 2006
Number of pages: 18 Posted: 14 Jul 2008 Last Revised: 28 Feb 2016
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 128 (333,222)

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mutual funds, S&P 500 Index funds, financial commodities, price competition, expense ratio, performance, characteristics, standard deviation classes, retail index funds, 12b-1 fees, uninformed investors

Are Retail S&P 500 Index Funds a Financial Commodity? Insights for Investors

Number of pages: 30 Posted: 08 Sep 2009 Last Revised: 04 Aug 2016
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 60 (537,279)
Citation 8

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mutual funds, S&P 500 Index funds, financial commodities, price competition, expense ratio, performance, characteristics, standard deviation classes, retail index funds, 12b-1 fees, uninformed investors

Why Do Mutual Fund Investors Employ Financial Advisors?

Journal of Investing, Vol. 17, No. 4, pp. 91-94, Winter 2008
Number of pages: 4 Posted: 29 Dec 2008 Last Revised: 03 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 184 (246,658)

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mutual funds, advisor channel distribution, behavioral biases, sizable costs, fee only

Why Do Mutual Fund Investors Employ Financial Advisors?

Posted: 22 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, advisor channel, rational behavior. behavioral biases, fund costs, fee only

36.

Depreciation: A Source of Cash?

Arizona Review, Vol. 16, Nos. 8-9, pp. 12-14, August-September 1967
Number of pages: 3 Posted: 19 May 2015 Last Revised: 09 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 182 (249,129)

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Mutual Funds: Advertising, Behavioral Models, and Investor Choice

Journal of Index Investing, Vol. 1, No. 4, pp. 7-12, Spring 2011
Number of pages: 6 Posted: 27 Feb 2011 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 182 (249,043)

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mutual funds, advertising, investor behavior, advertising as persuasion, investor choice, revealed preferences, affect as persuasion, human behavior

Mutual Funds: Advertising, Behavioral Models, and Investor Choice

Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, advertising, behavioral model of persuasion, investor behavior, neurofinance, emotion, revealed preferences, coarse thinking, brain

Normative Transparency of Mutual Fund Disclosure and the Case of the Expense Ratio

Journal of Investing, Vol. 16, No. 4, pp. 167-173, Winter 2007
Number of pages: 8 Posted: 26 May 2008 Last Revised: 02 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 139 (312,568)
Citation 1

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normative transparency, disclosure, regulation, independent directors, expense ratio, new total expense ratio

Normative Transparency of Mutual Fund Disclosure and the Case of the Expense Ratio

Number of pages: 25 Posted: 04 Jun 2012 Last Revised: 02 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 38 (655,119)
Citation 6

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mutual fund distribution, normative transparency of disclosure, new total expense ratio, flow

39.
Downloads 175 (257,833)

Mutual Funds Win and Investors Lose

Number of pages: 36 Posted: 08 Jul 2012 Last Revised: 31 Jan 2013
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 175 (257,883)

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mutual funds, actively managed funds, investor overconfidence, strategic repricing decisions, sentiment contrarian behanvior, agency conflicted broker incentives

Mutual Funds Win and Investors Lose

Journal of Index Investing, Vol.3, No. 4, pp. 31-40, Spring 2013 , https://doi.org/10.3905/jii.2013.3.4.031
Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, underperforming funds, actively managed, negative alphas, investor overconfidence

Mutual Fund Economies of Scale: Nature and Sources

Number of pages: 106 Posted: 15 Feb 2013 Last Revised: 30 Mar 2018
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 169 (265,898)

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mutual funds, economies of scale, returns to scale, administration economies, actively managed funds, endogenous factors, scaling strategies, trading scale effects, organizational diseconomies, scale and scope economies, scaling investment strategies, instrumental variables

Mutual Fund Economies of Scale: Nature and Sources

Journal of Wealth Management, Vol. 20, No. 1, pp. 97-124 (Summer 2017)
Posted: 27 Apr 2017 Last Revised: 28 Sep 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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41.
Downloads 168 (267,140)
Citation 1

Morningstar Mutual Fund Measures and Selection Model

Number of pages: 48 Posted: 22 May 2013 Last Revised: 06 Apr 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 168 (267,312)
Citation 1

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mutual funds, Morningstar, star ratings, analyst ratings, total pillar ratings, upside and downside capture ratios, stewardship ratings, analysis, Vanguard selection model

Morningstar Mutual Fund Measures and Selection Model

Journal of Wealth Management, Vol. 17, No. 2, pp. 19-30, Fall 2014 , Robert H. Smith School Research Paper No. RHS 2474225, https://doi.org/10.3905/jwm.2014.17.2.019
Posted: 20 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, wealth management, Morningstar, grading measures, star ratings, analyst ratings, total pillar ratings, capture ratios. Vanguard funds, selection model

42.

S&P 500 Index Mutual Funds

Journal of Indexes, Vol. 9, No. 2, pp. 34-38, March/April 2007
Number of pages: 7 Posted: 26 Jun 2009 Last Revised: 03 Mar 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 168 (267,140)

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S&P 500 index mutual funds, expense ratio, management fees, risk/return performance measures, portfolio turnover, 12b-1 fees, statistical relationships

Mutual Funds and Individual Investors: Advertising and Behavioral Issues

Number of pages: 35 Posted: 15 Sep 2012 Last Revised: 24 Jan 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 115 (360,740)
Citation 1

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mutual funds, investor choice, advertising, performance, expenses, flows, emotion, choice, persuasion, financial literacy, performance sensitivity, active management, sentiment contrarian behavior

Chapter 29: Mutual Funds and Individual Investors: Advertising and Behavioral Issues

H. Kent Baker, and Victor Ricciardi, eds., Investor Behavior: The Psychology of Financial Planning and Investing, pp. 533-553. Hoboken, NJ: John Wiley & Sons, 2014, Robert H. Smith School Research Paper No. RHS 2373707
Number of pages: 22 Posted: 02 Jan 2014 Last Revised: 16 Feb 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 50 (585,794)

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44.

Criteria for Employee Promotion in Banks

Bank Personnel Report (Special Report), Vol. 5, No. 3, pp. 7-8, Management Reports, Boston, MA, May 1972
Number of pages: 3 Posted: 29 May 2015 Last Revised: 08 Aug 2015
Martin John Gannon, John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of Business and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 161 (276,759)

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45.

Bank Performance Measures and Relative Profitability

Bankers Magazine, Voi. 166, No. 4, pp. 73-76, July-August 1983, Robert H. Smith School Research Paper No. RHS 2615327
Number of pages: 5 Posted: 07 Jun 2015 Last Revised: 29 Dec 2015
John A. Haslem, John A. Haslem, James Bedingfield and Anthony Stagliano
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, University of Maryland - Robert H. Smith School of Business and University of Maryland
Downloads 159 (279,616)

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46.

Why Have Mutual Fund Independent Directors Failed as ‘Shareholder Watchdogs’?

Journal of Investing, Vol. 19, No. 1, pp. 7-12, Spring 2010
Number of pages: 6 Posted: 28 Mar 2010 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 150 (293,513)
Citation 1

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mutual funds, shareholder watchdogs, 40Act's flawed regulatory structure, flawed structure of fund boards, failure of 40Act to provide normative transparency of disclosure, court failures to find excessive advisory fees, Gartenberg decision

47.

Active Management is Not Necessarily Heresy

Journal of Indexes, Vol. 7, No. 6 pp. 30-31, 44, 47, November/December 2005
Number of pages: 4 Posted: 25 Jun 2009 Last Revised: 22 May 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 148 (296,628)

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mutual funds, actively managed funds, index funds, investor overconfidence, broker advice, performance

48.

A Tool for Improved Mutual Fund Transparency

Journal of Investing, Vol. 13, No. 3, pp. 54-64, Fall 2004
Number of pages: 11 Posted: 12 Jun 2008 Last Revised: 25 May 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 142 (306,680)

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mutual funds, transparency, online disclosure template, normative disclosure, fund advisers, regulation

A Review of Domestic-Hybrid Mutual Funds

Journal of Indexes, Vol. 6, No. 4, pp. 30-32, October/November 2004
Number of pages: 3 Posted: 25 Jun 2009 Last Revised: 25 Mar 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 96 (408,971)

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domestic-hybrid mutual funds, balanced funds, funds of funds, asset allocation funds, life-stage funds, target maturity funds, strategic-income bond funds, couch potato portfolio, all-weather funds

A Review of Domestic-Hybrid Mutual Funds

Number of pages: 13 Posted: 21 Jun 2012 Last Revised: 03 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 45 (613,118)

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domestic hybrid mutual funds, balanced funds, asset allocation funds, funds of funds, life-stage funds, target maturity funds, all-weather portfolios

50.

Should the SEC Rid Mutual Fund Investors of 12b-1 Fees?

Number of pages: 16 Posted: 01 Apr 2008 Last Revised: 29 Feb 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 131 (326,380)

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mutual funds, 12b-1 fees, conflict of interest, regulation

51.

Normative Transparency of Disclosure for Mutual Fund Investors

Number of pages: 31 Posted: 22 Oct 2008 Last Revised: 09 Dec 2018
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 127 (334,041)
Citation 11

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52.

Morningstar Analytical Mutual Fund Measures and Selection Model

Robert H. Smith School Research Paper No. RHS 2486163
Number of pages: 49 Posted: 25 Aug 2014 Last Revised: 06 Apr 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 125 (337,964)
Citation 1

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53.

An Analysis of Morningstar's Classification of Small-Cap Mutual Funds

Brian R. Bruce, ed., A Guide to Small-Cap Investing, New York, NY: Institutional Investor, pp. 69-74, Spring 2003
Number of pages: 6 Posted: 02 Jul 2008 Last Revised: 26 May 2015
John A. Haslem, John A. Haslem and Carl A. Scheraga
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Fairfield University - Charles F. Dolan School of Business
Downloads 125 (337,964)

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mutual funds, Morningstar small-cap funds, star rating, category rating, risk/return performance, investment style, performance clusters

54.

The Actively-Managed vs. Index Fund Debate Is Still One of the Hottest Topics in Index Fund Research

Journal of Indexes, Vol. 6, No. 2, pp. 18-22, June/July 2004, Robert H. Smith School Research Paper No. RHS 2588093
Number of pages: 5 Posted: 02 Apr 2015 Last Revised: 22 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 122 (344,023)

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mutual funds, index funds, actively managed funds, market efficiency, research, trading, Sharpe

55.

Another Look at S&P 500 Retail Index Funds: Are S&P 500 Funds a Financial Commodity?

Journal of Indexes, Vol. 11, No. 2, pp. 38-42, March/April 2008
Number of pages: 5 Posted: 17 Jun 2009 Last Revised: 15 Mar 2017
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 121 (346,099)

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500 index mutual funds, retail funds, performance, expense ratios, deferred charges, 12b-1 fees, fund size, fund age, financial commodity, less-than-perfect competition, uninformed investors, minimum initial purchase

56.
Downloads 117 (354,562)
Citation 4

Mutual Funds and the New Total Expense Ratio

Number of pages: 20 Posted: 02 Jul 2009 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 117 (356,226)
Citation 5

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new totoal expense ratio, management fees, distribution fees, other expenses, transactopm costs, 12b-1 fees, regulation, adviser, distributor, brokers

Mutual Funds and the New Total Expense Ratio

Journal of Investing, Vol. 19, No. 2, pp. 22-26, Summer 2010, https://doi.org/10.3905/joi.2010.19.2.022
Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 0 (91,920)
Citation 8

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Mutual Funds, New Expense Ratio, Expense Ratio, Normative Transperancy Of Disclosure, Management Fee

57.

Leverage Effects on Corporate Earnings

Arizona Review, Vol. 19, No. 3, pp. 7-11, March 1970
Number of pages: 5 Posted: 24 May 2015 Last Revised: 09 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 113 (363,390)

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58.

Excessive Mutual Fund Expenses Also Mean Higher Risk and Worse Performance

Journal of Indexes, Vol. 7, No. 4. pp. 40-41, July/August 2005
Number of pages: 3 Posted: 02 Jul 2009 Last Revised: 14 Mar 2015
John A. Haslem, John A. Haslem, H. Kent Baker and David M. Smith
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, American University - Kogod School of Business and State University of New York at Albany - School of Business
Downloads 110 (370,324)
Citation 1

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mutual funds, expense ratios, portfolio characteristics, trading costs, earnings, total returns, risk, risk/return performance, performance attributes

What Independent Directors Should 'Request' of Mutual Fund Advisers

Number of pages: 23 Posted: 18 Nov 2008 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 109 (374,762)
Citation 9

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mutual funds, adviser practices, normative transparency of information, independent directors, proactively requested normative information, agency, legal opinion, list of normative information, independent director performance, directors go along,' regulatory change

What Independent Directors Should 'Request' of Mutual Fund Advisers

Journal of Index Investing, Vol. 1, No. 2, pp. 50-55, Fall 2010, https://doi.org/10.3905/jii.2010.1.2.050
Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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independent directors, normative transparency of information, fund advisers, opinion, performance, stewardship

60.

Chapter 23: Selected Topics in Mutual Fund Distribution

H. Kent Baker, Greg Filbeck, and Halil Kiymaz, eds., Mutual Funds and Exchange-Traded Funds, pp. 417-431. New York, NY: Oxford University Press, 2015
Number of pages: 16 Posted: 17 Nov 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 106 (379,866)

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61.

Topics in Mutual Fund Transfer Agency and Revenue Sharing

Number of pages: 24 Posted: 21 Aug 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 105 (382,357)

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mutual funds, transfer agency, sub-transfer agency, revenue sharing

Mutual Fund 'Soft-Dollar' Arrangements: Analysis and Findings

Robert H. Smith School Research Paper No. 2404016
Number of pages: 48 Posted: 04 Mar 2014 Last Revised: 04 Nov 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 105 (384,754)
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mutual funds, soft dollars, soft-dollar arrangements, agency conflicts, disclosure, transparency, opague commission bundling, excess bundling of research and services, excess trading, fund boards, advisory fees

Mutual Fund 'Soft-Dollar' Arrangements: Analysis and Findings

Journal of Wealth Management, Vol. 19, No. 1 (Fall 2016), pp. 101-107., https://doi.org/10.3905/jwm.2016.19.2.101
Posted: 20 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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Why Does Mutual Fund Advertising Work? Some Complementary Evidence

Journal of Index Investing, Vol. 1, No. 1, pp. 55-60, Summer 2010
Number of pages: 6 Posted: 03 Jul 2010 Last Revised: 06 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 105 (384,754)

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mutual funds, advertising, financial literacy, information overload, revealed preferences, broker-sold funds, performance, distribution fees, agency, financial advisors, fee-only advisors

Why Does Mutual Fund Advertising Work? Some Complementary Evidence

Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, advertising, below average financial literacy, broker-sold funds, investment behavior, overwhelming investment decisions, revealed preferences, front-end load, distribution fees, conflict of interest, financial advisor, legal standards, performance

64.

Disclosure of Material Information: A Cross-National Comparison

International Journal of Accounting Education and Research, Vol. 13, No. 1, pp. 1-16, Fall 1977
Number of pages: 20 Posted: 06 Jun 2015 Last Revised: 25 Jul 2015
H. Kent Baker, Robert H. Chenhall, John A. Haslem, John A. Haslem and Roger Juchau
American University - Kogod School of Business, Monash University - Department of Accounting, University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Nepean College of Advanced Education - School of Business
Downloads 103 (387,508)

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65.

Investing in 'Fiduciary' Mutual Funds: How to Improve the Odds

Journal of Investing, Vol. 14, No. 4, pp. 63-68, Winter 2005
Number of pages: 6 Posted: 12 Jun 2008 Last Revised: 22 Jan 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 100 (395,262)
Citation 1

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mutual funds, scandal, disclosure, fund advisers, fiduciary funds, shareholder stewards

66.

An Idea Whose Time Has Come: Should the SEC Rid Mutual Fund Investors of 12b-1 Fees?

Journal of Indexes, Vol. 11, No. 3, pp. 42-45, March/April 2008
Number of pages: 5 Posted: 22 Jun 2009 Last Revised: 02 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 99 (397,856)

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mutual funds, 12b-1 fees, expenses, conflicts, regulation, Cox, fund industry

67.

Selected Topics in Mutual Fund Distribution

Robert H. Smith School Research Paper No. RHS 2470116
Number of pages: 24 Posted: 26 Jul 2014 Last Revised: 04 Nov 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 97 (403,142)

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mutual funds, 12b-1 fees, direct, advice, retirement, institutional, supermarket distribution, multiple share classes, agency conflicts

68.

Indecent Disclosure: The Need for Normative Transparency of Mutual Fund Disclosure

Journal of Indexes, Vol. 8, No. 4, pp. 35-40, July/August 2006, Robert H. Smith School Research Paper No. RHS 1425673
Number of pages: 6 Posted: 26 May 2010 Last Revised: 24 Jun 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 92 (417,322)

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mutual funds, normative transparency of disclosure & definition, shareholder information, information efficient, proactive change, fiduciary, shareholder watchdogs, regulation

69.

Mutual Fund Heterogenity and Fee Dispersion

Number of pages: 30 Posted: 02 Mar 2013 Last Revised: 11 Mar 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 91 (420,194)

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mutual funds, fees, strategic fee setting, performance sensitivity, excessive fees, multiple share

70.

Mutual Funds and 401(K) Pension Plan Fees, Services, and Performance

Journal of Index Investing, Vol. 2, No. 3, pp. 44-48, Winter 2011
Number of pages: 5 Posted: 29 Nov 2011 Last Revised: 27 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 91 (423,178)

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mutual funds, 401(k) pension plans, investment management services, third-party revenue sharing, sub

71.
Downloads 89 (426,152)
Citation 2

Mutual Fund Markets are Imperfectly Competitive

Number of pages: 50 Posted: 31 May 2012 Last Revised: 05 Apr 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 89 (429,806)
Citation 2

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mutual funds, imperfect competition, industry & legal performance, distribution, share classes, attributes, actively managed funds, index funds, advertising, financial literacy, past performance, expense ratios, prices

Mutual Fund Markets are Imperfectly Competitive

Journal of Index Investing, Vol. 4, No. 1, pp. 32-44, 2013
Posted: 31 May 2013 Last Revised: 02 Oct 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, markets, products, share classes, ICA, independent directors, disclosure, 12b-1 fees, soft-dollar trades, revenue sharing, organization, price accounting, scale economies, index funds, actively managed funds, differentiation, performance, advertising, financial literacy, expenses etc.

Identifying Stewardship Mutual Funds for Individual Investors

Number of pages: 34 Posted: 26 Feb 2012 Last Revised: 22 Jan 2013
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 89 (429,806)
Citation 1

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mutual funds, stewardship funds, boutique fund companies, Morningstar Total Stewaredship Grades and Analyst Pillar Rating, quantile regression results, Stewardship Quotient

Identifying Stewardship Mutual Funds for Individual Investors

Journal of Investing, Vol. 22, No. 1, Spring 2013, https://doi.org/10.3905/joi.2013.22.1.104
Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 0 (342,129)
Citation 2

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mutual funds, individual investors, boutique funds, fund ratings, total stewardship grades, analyst ratings, Morningstar, manager incentives, board quality, stewardship grades, stewardship quotient, stewardship attributes

73.

An Analysis of Liquidity Measures and Relative Bank Profitability

Akron Business and Economic Review, Vol. 16, No. 4, pp. 37-43, Winter 1985
Number of pages: 8 Posted: 07 Jun 2015 Last Revised: 28 Jul 2015
John A. Haslem, John A. Haslem, James Bedingfield and Anthony Stagliano
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, University of Maryland - Robert H. Smith School of Business and University of Maryland
Downloads 87 (432,012)

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Mutual Funds: Conflicted Distribution and the New Total Expense Ratio Construct

Journal of Index Investing, Vol. 1, No. 3, pp. 67-73, Winter 2010
Number of pages: 9 Posted: 05 Dec 2010 Last Revised: 27 Feb 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 84 (445,429)

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Total Expense Ratio, Normative Transparency of Disclosure, Ratio Construct, Mutual Fund Distribution, 12b-1 Fees, Revenue Sharing Payments, Soft-Dollar Trades, Directed Brokerage, Distribution Research and Costs

Mutual Funds: Conflicted Distribution and the New Total Expense Ratio Construct

Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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New Total Expense Ratio, mutual funds, normative transparency, distribution fees, 12b-1 fees, soft-dollar trades, revenue sharing payments, agency conflicts, costs

75.

The President's Letter to Stockholders: A New Look

Financial Analysts Journal, Vol. 42, No. 5, pp. 66-70, September/October 1986
Number of pages: 6 Posted: 23 Oct 2012 Last Revised: 19 May 2015
Dennis McConnell, John A. Haslem, John A. Haslem and Virginia Gibson
Independent, University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business and Independent
Downloads 83 (444,363)
Citation 1

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Mutual Fund Revenue Sharing and Defensive 12b-1 Plans: 'Oz Revisited'

Number of pages: 41 Posted: 17 Dec 2015 Last Revised: 03 Nov 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 79 (462,158)

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Mutual Fund Revenue Sharing and Defensive 12b-1 Plans: 'Oz Revisited'

Journal of Wealth Management, Vol. 19, No. 3, pp. 65-74 (Winter 2017)
Posted: 31 Oct 2017 Last Revised: 21 Mar 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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77.

A Statistical Estimation of Commercial Bank Profitability

Journal of Business, Vol. 42, No. 1, pp. 22-35, January 1969
Number of pages: 15 Posted: 08 Oct 2012 Last Revised: 11 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 79 (457,307)
Citation 2

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Issues in Mutual Fund Soft-Dollar Trades

Journal of Index Investing, Vol. 2, No. 2, pp. 76-85, Fall 2011
Number of pages: 10 Posted: 26 Aug 2011 Last Revised: 04 Feb 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 79 (462,158)
Citation 1

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soft dollars, safe harbor, soft-dollar commissions, soft-dollar rebates, agency conflicts, trading costs, trade disclosure

Issues in Mutual Fund Soft-Dollar Trades

Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, brokerage commissions, soft-dollar trades, safe harbor, bundled soft dollar commissions, agency conflicted soft-dollar trades, trade costs, transparency, opaque, expensed research and distribution payments, investor inflows

79.

Commercial Banking Structure in the United States: Its Development and Future

Baylor Business Studies, Vol. 6, No. 2. pp. 7-35, May-June-July 1975
Number of pages: 27 Posted: 01 Jun 2015 Last Revised: 07 Nov 2015
William Longbrake, John A. Haslem and John A. Haslem
Independent and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 73 (478,174)

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Issues in Mutual Fund Revenue Sharing Payments

Journal of Index Investing, Vol. 3, No. 1, pp. 52-57, Summer 2012
Number of pages: 6 Posted: 27 May 2012 Last Revised: 27 Feb 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 70 (495,302)

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mutual funds, revenue sharing payments, distribution costs, agency conflicts, opaque disclosure, fall-out benefits, management fees, reward broker sales, expense ratios, shareholder returns

Issues in Mutual Fund Revenue Sharing Payments

Posted: 21 May 2019 Last Revised: 22 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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Mutual Funds, Revenue Sharing Payments, Direct Distribution Fees, Indirect Distribution Fees, Types of Payments, SEC, Adviser Fall-Out Benefits, Shareholder Conflict

81.

The Need for Actively Managed Mutual Funds

Number of pages: 6 Posted: 25 Jun 2012 Last Revised: 01 Mar 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 67 (500,591)

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superior actively managed funds, fund attributes, investment style, diversification risk, portfolio managers, concentrated portfolios

82.

The Use of DEA to Assess the Financial Efficiency of Large Banks

Global Business and Finance Review, Vol. 1, No. 1, pp. 1-12, Spring 1996, Robert H. Smith School Research Paper No. RHS 2597280
Number of pages: 15 Posted: 22 Apr 2015 Last Revised: 18 Aug 2015
John A. Haslem, John A. Haslem, Carl A. Scheraga and James Bedingfield
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, Fairfield University - Charles F. Dolan School of Business and University of Maryland - Robert H. Smith School of Business
Downloads 66 (504,551)

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83.

Commercial Bank Capital Debt, Business Risk, and Stock Price

Quarterly Review of Economics and Business, Vol. 19, No. 4, pp. 53-64, Winter 1979
Number of pages: 13 Posted: 20 Apr 2015 Last Revised: 22 Jul 2015
James Minor Sachlis, John A. Haslem and John A. Haslem
Independent (Deceased) and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 66 (504,551)

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84.

Mutual Funds and 401(K) Pension Plan Fees, Services, and Performance

Number of pages: 20 Posted: 27 Aug 2011 Last Revised: 07 Oct 2012
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 65 (508,513)

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401(k) pension plans, regulation, revenue sharing, sub-transfer agency fees, plan fees, plan service

85.

DEA Efficiency Profiles of U.S. Banks Operating Internationally

International Review of Economics & Finance, Vol. 8, No. 2, pp. 165-182, 1999
Number of pages: 18 Posted: 20 Nov 2012 Last Revised: 31 May 2015
John A. Haslem, John A. Haslem, Carl A. Scheraga and James Bedingfield
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, Fairfield University - Charles F. Dolan School of Business and University of Maryland - Robert H. Smith School of Business
Downloads 64 (512,535)

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86.

Productive Efficiency in Commercial Banking: The Effects of Size and Legal Form of Organization on the Cost of Demand Deposit Services

Journal of Money, Credit, and Banking, Vol. 7, No. 3, pp. 317-330, August 1975
Number of pages: 15 Posted: 22 Oct 2012 Last Revised: 04 Jul 2015
William Longbrake, John A. Haslem and John A. Haslem
Independent and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 63 (520,786)

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87.

Toward the Development of Client-Specified Valuation Models

Journal of Finance, Vol. 29, No. 4, pp. 1255-1263, September 1974
Number of pages: 10 Posted: 06 Oct 2012 Last Revised: 21 Jul 2015
H. Kent Baker, John A. Haslem and John A. Haslem
American University - Kogod School of Business and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 63 (516,563)
Citation 1

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88.

A Tool for Improved Mutual Funds Transparency

Number of pages: 32 Posted: 20 Jun 2012 Last Revised: 01 Mar 2016
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 63 (516,563)
Citation 4

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mutual funds, transparency, normative disclosure, disclosure template

89.
Downloads 60 (529,034)
Citation 1

Mutual Fund Agency Conflicts

Journal of Index Investing, Vol. 3, No. 2, pp.12-22, Fall 2012
Number of pages: 10 Posted: 08 Sep 2012 Last Revised: 27 Mar 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 60 (537,279)

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mutual funds, agency conflicts, shareholder interests, ICA, court decisions, fund scandal

Mutual Fund Agency Conflicts

Posted: 21 May 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
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mutual funds, agency conflicts, ICA, shareholder interests, in-depth findings

90.

An Analysis of International Banking Measures and Relative Profitability

Management International Review, Vol. 23, No. 3, pp. 48-60, 1983
Number of pages: 14 Posted: 08 Nov 2012 Last Revised: 03 Jul 2015
John A. Haslem, John A. Haslem, James Bedingfield and Anthony Stagliano
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, University of Maryland - Robert H. Smith School of Business and University of Maryland
Downloads 57 (542,051)

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91.

Investor Risk/Return Preferences (Part II): Personal Characteristics

Atlanta Economic Review, Vol. 27, No. 4, pp. 19-23, July-August 1977
Number of pages: 6 Posted: 06 Jun 2015 Last Revised: 18 Aug 2015
H. Kent Baker, Michael Hargrove, John A. Haslem and John A. Haslem
American University - Kogod School of Business, Independent and University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 56 (546,564)

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92.

A Note on the Profitability of Commercial Bank Trust Departments

Journal of Bank Research, Vol. 5, No. 4, pp. 260-263, Winter 1975
Number of pages: 6 Posted: 01 Jun 2015 Last Revised: 24 Jul 2015
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 56 (546,564)

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93.

A Statistical Analysis of International Banking Measures and Relative Profitability

Management International Review, Vol. 26, No. 2, pp. 5-15, 1986
Number of pages: 10 Posted: 17 Nov 2012 Last Revised: 03 Jul 2015
John A. Haslem, John A. Haslem, Andreas Christofi, James Bedingfield and Anthony Stagliano
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business, Monmouth University - Department of Economics, Finance, and Real Estate, University of Maryland - Robert H. Smith School of Business and University of Maryland
Downloads 56 (546,564)
Citation 2

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Negative General Effects on Mutual Fund Shareholder Performance

Number of pages: 31 Posted: 01 Apr 2012 Last Revised: 06 Apr 2017
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business
Downloads 56 (555,818)
Citation 2

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mutual funds, shareholder performance, ICA, court decisions, outsourcing regulatory oversisght, shareholder watchdogs, normative transparency of disclosure, normative transparency of information, independent directors.fund advisers. excessive fund fees

Negative General Effects on Mutual Fund Shareholder Performance

Journal of Index Indexing, Vol. 4, No. 2, pp. 35-43, Fall 2013, Doi.org/10.3905/jii.2013.4.2.035, Robert H. Smith School Research Paper No. RHS 2317314
Posted: 21 May 2019 Last Revised: 08 Dec 2019
John A. Haslem and John A. Haslem
University of Maryland - Robert H. Smith School of BusinessUniversity of Maryland - Robert H. Smith School of Business

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mutual funds, performance, ICA, court decisions, fees, information efficient, scandal, independent directors, outsourcing, agency conflicts, shareholder watchdogs, normative transparency of disclosure, normative transparency of information, fund choices