| Old Articles: <Older 4671-4680 Newer> |
|---|
 |
Wall Street & Technology
January 5, 2006
Cory Levine |
BCP Testing Continues The securities industry successfully completed Phase 2 of its business continuity planning (BCP) test on Oct. 15, organized and conducted as part of the continued effort to assess the resilience of securities markets.   |
National Real Estate Investor
January 1, 2006
John B. Levy |
Wider Spreads Yield Opportunity Commercial mortgage-backed securities spreads have a habit of tightening early in the New Year, and the smart money seems to be betting on that occurring again in early 2006. But a new CMBS player has emerged, too -- hedge funds. |
Registered Rep.
January 1, 2006
Kristen French |
A Level Playing Field High-profit ensembles and solos are the top-performing 25% of financial advisory firms. Other ensembles and solos would lose money if they paid their owners a market level salary. |
Registered Rep.
January 1, 2006
Kristen French |
Too Hot to Touch The recent acquisitions of Legg Mason's retail brokerage by Citigroup and Advest by Merrill Lynch brought an interesting recruiting problem into high relief: Raiding. |
Registered Rep.
January 1, 2006
Kristen French |
Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002. |
Registered Rep.
January 1, 2006
Kristen French |
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. |
Registered Rep.
January 1, 2006 |
Comings & Goings James Hays has joined Wachovia Securities... Giovanni Prezioso, general counsel of the Securities and Exchange Commission since 2002, will leave the commission... etc. |
Registered Rep.
January 1, 2006
John Churchill |
I Fought the Law After stepping into the ring last spring with California Attorney General Bill Lockyer over fund disclosure practices, American Funds recently knocked the AG on the canvas; Edward Jones, another Lockyer target, hasn't been so lucky. |
Registered Rep.
January 1, 2006 |
In League With Dr. Phil? During a three-part series called "The First Wives' Club" the talk show host offered newly divorced women gifts from a number of firms, including Ameriprise, aimed at helping them achieve financial independence. |
Registered Rep.
January 1, 2006 |
60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record. |
| <Older 4671-4680 Newer> Return to current articles. |
