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Registered Rep. September 3, 2002 |
SIA: Sky Has Fallen, Recovery in 2003? According to the Securities Industry Association's recent report, the securities industry's profits continue to dive.  |
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. July 30, 2003 Will Leitch |
Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept.  |
Registered Rep. June 15, 2004 John Churchill |
Wall Street's Profits, Jobs, Compensation Are On the Rise Wall Street had its third best year ever in 2003, and 2004 is shaping up to be at least as good, according to the Securities Industry Association.  |
Registered Rep. December 10, 2003 David A. Gaffen |
Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.  |
Wall Street & Technology July 1, 2005 Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional.  |
Registered Rep. September 1, 2004 Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.  |
Registered Rep. May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.  |
Financial Planning November 1, 2006 Marianne Czernin |
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements.  |
Registered Rep. August 30, 2002 Betsy Riley |
Reps' Earnings Suffered Double-Digit Loss in 2001 The SIA surveyed 34 member-firms, finding a drop in broker earnings and a move toward fee-based business models.  |
Wall Street & Technology March 21, 2006 |
Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices.  |
Registered Rep. August 1, 2006 Kristen French |
The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant.  |
Registered Rep. June 25, 2003 Nigel Goodman |
Tech Spending on the Wane Technology spending is dropping at securities firms, and some reps are starting to feel the pinch.  |
Registered Rep. June 23, 2011 Diana Britton |
Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April.  |
Wall Street & Technology January 5, 2006 |
Workforce Diversification Diversity continues to grow within the securities industry, where women and minorities represent an increasing portion of the workforce, according to a recent study.  |
InternetNews May 17, 2004 |
Securities Industry IT Spend to Hit $71.5 Billion While double digit increases are long gone, the Tower Group finds North American securities industry IT spending on the rise.  |
Wall Street & Technology January 5, 2007 |
Securities Lending Continues Growth Initially a back-office function handled by large banks and broker-dealers, securities lending now is a major front-office function that occupies a prominent position in many broker and custodian offices.  |
The Motley Fool February 18, 2009 Dan Caplinger |
An Investment for All Markets Wouldn't you like to find some way to have the protection that bonds have provided throughout the bear market while still retaining some of the upside of stocks? Convertible securities offer the best of both worlds.  |
Registered Rep. January 1, 2003 Ross Tucker |
Let's See Those Credentials For the thousands of reps who have found themselves unemployed since industry employment peaked in 2000, the matter of retaining one's license to sell securities is a potential issue.  |
BusinessWeek November 19, 2007 Goldstein & Henry |
On the Subprime Endangered List Which CEO will be catching subprime heat next now that Citigroup's Chuck Prince is out? Bear Stearns' Jimmy Cayne may be vulnerable.  |
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. September 16, 2004 Will Leitch |
SIA Reports Big Drop in Second-Quarter Profits In its Research Report for the second quarter of 2004, the Securities Industry Association announced that profits for brokerage firms were 61.2 percent lower than in the second quarter of 2003.  |
Entrepreneur November 2007 Rosalind Resnick |
Getting a Margin Loan Securing a margin loan can mean quick cash for startup, but it doesn't come without risk.  |
Bank Technology News November 2001 David Rountree |
Securities Industry Grapples with STP Challenges To completely automate the trade process, U.S. firms will have to spend billions to overcome a bevy of complex obstacles...  |
Registered Rep. March 9, 2012 Kristen French |
Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities.  |
Registered Rep. September 3, 2003 David Gaffen |
NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them.  |
InternetNews March 10, 2009 Paul Shread |
Technical Analysis: Stocks Try to Bottom Fear may be high enough for a stock market bottom, but two levels will be critical.  |
BusinessWeek April 28, 2011 Sree Vidya Bhaktavatsalam |
This Crash Protection Doesn't Pay Despite turmoil, bear market funds are the worst performers.  |
The Motley Fool March 21, 2007 S.J. Caplan |
Check Out Your Broker A redesigned website tells you what you need to know before you invest.  |
Wall Street & Technology June 21, 2004 |
The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry.  |
Registered Rep. April 28, 2003 David A. Gaffen |
Wachovia's Banking Unit Has New Deal for Reps Wachovia Securities, which offers reps several different affiliation levels, has predictably come up with a recruiting deal that has several different plans reps can choose from. This particular deal is only for those reps applying to work in the bank branches.  |
Registered Rep. January 8, 2003 Ross Tucker |
SIA Urges No Change to Branch Office Definition The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office.  |
OCC Bulletin January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16.  |
Wall Street & Technology June 4, 2004 |
The Analysts' View What's next? Algorithmic trading or old, faithful STP? Industry analysts make their predictions.  |
The Motley Fool December 15, 2006 Michael Leibert |
More Happy Bankers at Bear The smallest of the big, publicly traded securities houses, Bear Stearns posted its best quarter ever, with net income of $563 million or $4 per diluted share, a 38% increase from the fourth quarter of 2005.  |
Registered Rep. June 9, 2010 Jerry Gleeson |
For NYC Securities Workers, A Historically Bad Year For Pay If you worked as a financial advisor last year, you are well aware that securities industry compensation was one of the many victims of the financial collapse.  |
Wall Street & Technology June 4, 2004 Robert M. Hegarty |
The Next Wave: Innovation It's been a long time comin', but the Securities industry has reengaged, with some very innovative technologies, products and even services as its launching pad.  |
Registered Rep. March 1, 2005 Janet Wynn |
Paper Torture Why does today's securities industry, which uses some of the most sophisticated technology available, still issue and distribute equities the same way it did two centuries ago --- as pieces of paper?  |
Registered Rep. June 1, 2004 |
Comings & Goings David Harris moved to UBS Securities from Smith Barney... UBS Securities lost a broker to upstart wealth manager Mercury Wealth Management... Carol Rogers recently moved to Linsco/Private Ledger from Wachovia Securities' FINet system... etc.  |
Investment Advisor June 2007 Savita Iyer |
Building Collaboration Reps of Securities America are thrilled with the company's new knowledge-sharing and peer support program, which makes use of the Internet so that reps can share their brain power with each other to enhance the business performance of their practices.  |
The Motley Fool October 15, 2009 Dan Caplinger |
Why Dow 10,000 Is Completely Meaningless Don't waste time with pointless milestones.  |
Registered Rep. December 1, 2004 David A. Gaffen |
Quietly Active The annual Securities Industry Association conference exuded an odd serenity, at least until the speakers invoked the name of Eliot Spitzer.  |
Registered Rep. September 1, 2004 David A. Gaffen |
Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities.  |
Investment Advisor May 1, 2011 Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm  |
The Motley Fool August 22, 2008 Dan Caplinger |
Don't Cut Your Winners To see why taking profits on a winning stock isn't generally the right thing to do during a bear market, consider what it takes for a company to do well in a tough economy.  |
Registered Rep. August 10, 2004 David A. Gaffen |
Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move.  |
Financial Planning September 1, 2008 Stephen Savage |
Anatomy of a Recovery Let's look at performance history to analyze how past market downturns have played out and, more specifically, the ultimate impacts of different levels of decline.  |
Registered Rep. February 8, 2004 Will Leitch |
IT Spending Expected To Rise in 2004 A new study asserts that Wall St. firms are ready to address one of reps' most common complaints in recent years: the lack of resources devoted to internal infrastructure, especially technology.  |
Registered Rep. March 1, 2003 Steve Testerman |
The Hiring Drought Might Be Ending With so many laid-off securities workers still looking for new employment, the burning question is: "When is it going to get better?" A recent survey by BrokerHunter.com offers some clues. It's good news if you're a retail broker; if you're a sales assistant of a retail broker, not so much.  |
BusinessWeek July 9, 2007 Goldstein et al. |
Mutually Assured Mayhem Wall Street is on edge, scrambling to buck up Bear Stearns and avert a domino-effect debacle.  |