Bank & Financial

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

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BusinessWeek March 6, 2006 Joseph Weber	NYSE's Steady Pilot Thus far, CEO John Thain has shown a deft touch in leading the New York Stock Exchange. He'll need it even more to deal with looming challenges.
BusinessWeek March 6, 2006	The Big Man at the Big Board NYSE chief John Thain talks about going global, going public, going electronic, and bringing the exchange into the 21st century.
Registered Rep. February 24, 2006 Kristen French	Morgan Grants Stock Worth $29 Million to Gorman The grant mostly goes to replace compensation the new retail brokerage head would have earned at his previous job with Merrill Lynch, but didn't because of his resignation, according to the firm's regulatory filing.
The Motley Fool February 24, 2006 Rich Duprey	H&R Blockheads After underreporting its own taxes, the tax prep giant restates earnings back to 2004. Investors must decide if this is more of a public relations snafu than a commentary on Block's ability to compute the public's taxes.
AFP eWire February 20, 2006	Socially Responsible Investment Assets Growing Faster Than Other Funds According to a recent report, nearly one out of every 10 dollars under professional management in the United States today is involved in socially responsible investing.
OCC Bulletin February 23, 2006	Risk-Based Capital -- Securities Borrowing Transactions: Final Rule This bulletin transmits a final rule on the risk-based capital treatment of securities borrowing transactions in which the borrower of the security posts cash collateral.
Registered Rep. February 22, 2006 Halah Touryalai	Brokers Headed for Sweep in Overtime Pay Cases? Stockbrokers have won their second big overtime pay case against Wall Street firms and this may only be the beginning of a rout that could cost brokerage houses many millions of dollars more.
FDIC FYI February 22, 2006 Nathan Powell	What the Yield Curve Does (and Doesn't) Tell Us Regardless of the slope of the existing yield curve -- positive, flat, or negative -- bankers will benefit from strategies designed to cope with the uncertainty of changing interest rates.
OCC Bulletin February 22, 2006	OCC Bulletin Subject: Bank Secrecy Act/Anti-Money Laundering Description: U.S. Money Laundering Threat Assessment The first U.S. government-wide analysis of money laundering, published in January 2006, is designed to help provide a better understanding of money laundering in the United States and support strategic planning efforts to combat that activity.
Registered Rep. February 21, 2006 Kristen French	At Morgan Stanley, the Gorman Era Dawns At Merrill, James Gorman was able to take a top team and make it more effective -- at Morgan Stanley, he inherits a demoralized, decimated sales force that trails its peers in assets under management, productivity and profit margins.
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