Bank & Financial

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

Old Articles: <Older 3131-3140 Newer>

The Motley Fool April 29, 2005 Mike Cianciolo	T. Rowe Price Charges Ahead The mutual fund giant performs fairly well in a difficult market thanks to its loyal investors.
OCC Bulletin April 28, 2005	Bank Secrecy Act/Anti-Money Laundering Frequently Asked Questions: Final Customer Identification Program Rule
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
Registered Rep. April 28, 2005 Kristen French	Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business.
Wall Street & Technology April 27, 2005 Jim Middlemiss	CIO Challenge: Two-Factor Authentication The rising incidence of account hijacking and identity theft has created a challenge for financial organizations that want to secure their data, but still allow clients and staff to conduct transactions online. Two-factor authentication may provide a solution.
Wall Street & Technology April 26, 2005 Ivy Schmerken	Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research.
Wall Street & Technology April 26, 2005 Paul Allen	Canadian Boutique Goes Online Sectoral Asset Management (S.A.M.) is rolling out a range of functionality from Financial Models Company's FMCSuite. The project comes on the back of S.A.M.'s migration to a Web-based global trade network, which S.A.M. accesses on an application service provider (ASP) basis.
Wall Street & Technology April 26, 2005 Maria Santos	The Domino Effect The Securities and Exchange Commission is getting a makeover - and technology is playing a central role in the renovation.
Wall Street & Technology April 26, 2005 Anthony Guerra	Learning to Communicate According to Bill Clay, VP of global financial services with Electronic Data Systems (EDS), financial services companies must evaluate CRM systems carefully.
Wall Street & Technology April 25, 2005 Schmerken & Massaro	The Fate of ITS In a divided vote, the SEC passed Reg NMS, ushering in a new and improved trade-through rule that will make best price and fast quotations a requirement for U.S. equities trading. What will become of the Intermarket Trading System (ITS)?
<Older 3131-3140 Newer> Return to current articles.