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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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
July 24, 2006
John Churchill
Despite Increased Competition, Rep Comp Stays Strong The brokerage industry is an increasingly difficult job market to break into, and an even harder one to stay around in. But for those who succeed, it continues to provide a pretty nice living, according to the SIA's 2005 Production and Earnings Survey. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 1, 2004
Will Leitch
Concerns Abound for Industry Growth Profits for brokerage firms dropped 61.2 percent from the second quarter of 2003, from $7.7 billion to $2.98 billion. That's also a staggering 60.7 percent below the first quarter of 2004, which notched $7.6 billion. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
November 1, 2006
John Churchill
Earnings Hangover Predicted in 2007 With only a month left in 2006, Wall Street's second-most profitable year ever, celebrants might be wise to party hard and sober up fast -- the earnings forecast for 2007 is a substantial 23% lower. mark for My Articles similar articles
Registered Rep.
March 1, 2005
John Churchill
Earnings Forecast: Clouds Give Way to Sun The past year's earnings troubles belie the brokerage industry's sunny prospects for 2005. For advisors, the industry's recent troubles have translated into fewer jobs, but many firms are recruiting aggressively again. mark for My Articles similar articles
Registered Rep.
May 6, 2003
Ross Tucker
Wall Street Employment: Worst Market Ever? Yup. It's bad out there. The securities industry has lost a record number of jobs, according to a recent report from the Securities Industry Association. But as a percentage of total jobs, the 1973-1974 bloodletting was worse. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 1, 2006
Kristen French
Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 1, 2004
Will Leitch
Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 8, 2003
Bean-Counting In Beantown At a recent SIA conference in Boston, retail money managers were downbeat about the prospects of that market recovering anytime soon, given historical precedent. mark for My Articles similar articles
Registered Rep.
September 21, 2007
Halah Touryalai
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. mark for My Articles similar articles
Registered Rep.
November 1, 2005
John Churchill
The Money Squeeze There's one thing that stands between the big retail brokerage firms and the high profit margins that the executives of these firms and their investors seek: the financial advisor. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
InternetNews
July 6, 2010
Global Chip Sales Continue Rebound The chip sector continued its recovery in May, with sales checking in at nearly 48 percent above the year-earlier period, according to the industry's trade group. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 13, 2003
Gaffen & Geracioti
Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit. mark for My Articles similar articles
BusinessWeek
February 23, 2004
Berner & Arndt
The Best Gains In 31 Years Companies in 2003 posted the highest profit surge in Scoreboard history as the economy rebounds. mark for My Articles similar articles
Registered Rep.
January 1, 2005
David Gaffen
The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives. mark for My Articles similar articles
On Wall Street
October 1, 2008
Donna Mitchell
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. mark for My Articles similar articles
Registered Rep.
October 8, 2004
John Churchill
Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. mark for My Articles similar articles
Registered Rep.
June 1, 2007
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? mark for My Articles similar articles
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. mark for My Articles similar articles
IndustryWeek
October 1, 2001
Tonya Vinas
Trade Secrets Securities analysts face increasing pressure to disclose investments, compensation ties... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 1, 2005
John Churchill
I Gotta Get Paid According to a 2005 study, revenue at independent financial advisory firms grew by 25% on average in 2004. mark for My Articles similar articles
BusinessWeek
February 9, 2004
Stanley Holmes
Corporate Profits Roar If corporate profits are any indication, the economy is on a tear. Thanks to a happy collision of low interest rates, tax cuts, and an export-boosting weak dollar, U.S. companies posted the strongest quarterly profit growth since 1993. mark for My Articles similar articles
Registered Rep.
February 2, 2006
Kristen French
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. mark for My Articles similar articles
Registered Rep.
August 1, 2008
Correction The correction of a quote regarding information gathered from brokerage clients invested in auction-rate securities. mark for My Articles similar articles
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. mark for My Articles similar articles
The Motley Fool
February 11, 2004
Selena Maranjian
Avoid "Brokerage Identity Theft" Identity theft doesn't just happen to individuals. Even brokerages can be victims. Be wary when someone contacts you claiming to be a brokerage, even a well-known one. mark for My Articles similar articles
Registered Rep.
October 1, 2002
David A. Geracioti
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
May 2009
B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud... mark for My Articles similar articles
Registered Rep.
December 1, 2005
Andrew Osterland
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. mark for My Articles similar articles
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. mark for My Articles similar articles