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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.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Registered Rep.
January 1, 2008 |
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association. |
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. |
Wall Street & Technology
January 20, 2008
Cory Levine |
Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification. |
The Motley Fool
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
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. |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
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. |
Wall Street & Technology
June 21, 2004 |
Spending Stats TowerGroup VP estimates that the North American securities market will spend $71.5 billion on technology this year. |
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. |
Registered Rep.
October 1, 2006
Kristen French |
Cold Call: Jeff Gerson What is the view from your office window today?... How did you get your first job in the securities industry?... etc. |
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. |
The Motley Fool
April 26, 2010
Dave Mock |
A Big Upgrade for Chimera Investment This bullish call comes from more than just one analyst. |
AFP eWire
May 7, 2007 |
Donation of Securities in Canada Expected to Surge, Great Potential for Future A new study in Canada predicts that gifts of securities to charities not only increased dramatically in 2006, but also the potential for such gifts remains largely untapped. |
Registered Rep.
August 7, 2007
Kristen French |
Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry. |
Investment Advisor
March 2008
Kara P. Stapleton |
Keeping Up Quote: Rob Hegarty, managing director of TowerGroup's Securities & Investments practice. |
The Motley Fool
June 19, 2008
Rich Duprey |
Finally, Money for Auction-Rate Securities A new product may finally save investors stuck with frozen auction-rate securities. |
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. |
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. |
CIO
November 15, 2001 |
Department of Big, Scary Numbers Projected number of layoffs in the airline industry through 2002... U.S. Internet users who visited news sites the week of Sept. 11... approximate cost to replace technology lost by securities companies alone on Sept. 11... |
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 |
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. |
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.
March 18, 2005
Will Leitch |
Wachovia: On the Recruiting Warpath Wachovia Securities, the third-largest brokerage in the country, has announced an "aggressive" new strategy: the creation of the Individual Investor Group, entirely devoted to the recruitment and retention of individual brokers. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
AFP eWire
July 9, 2008 |
Gifts of Securities Have Significant Effect on Canadian Charities The number and total value of donations of securities increased significantly from 2005 to 2006 after the Canadian government removed the capital gains tax on such contributions, according to new research. |
Insurance & Technology
June 8, 2010
Ivan Schneider & Leah Kaminsky |
2010 Insurance IT Salary Survey An exclusive 2010 IT salary survey breaks down the industry's compensation trends and reveals why insurance technologists are happier than their banking/securities counterparts. |
Wall Street & Technology
February 19, 2008
Melanie Rodier |
SIFMA Appoints Tim Ryan CEO The Securities Industry and Financial Markets Association has appointed Tim Ryan its new CEO. |
Registered Rep.
August 17, 2011 |
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. |
Wall Street & Technology
November 30, 2006 |
Rep. Lifecycle Management Kaplan Financial released Compliance Management System Generation 2, a Web-enabled employment management system designed to provide automated workflow support for the processes associated with securities representatives at securities firms. |
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. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Wall Street & Technology
February 25, 2005 |
Regulators in the Driver's Seat Regulation is here to stay and remains the No. 1 driver for IT organizations within securities and investments businesses for 2005, says recently released research by TowerGroup. |
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. |
Investment Advisor
July 2007
Kathleen M. McBride |
Going Private Hear that? It's the sound of a very big door opening into the elite, large, 144A private securities marketplace. |
Financial Planning
December 1, 2007
Elizabeth O'Brien |
Bookshelf So you've decided to hire a new staffer. What comes next? Securities America helps financial advisors answer this question in its new book, Hiring to Grow: A Practical Workbook, written by Kirk J. Hulett. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
OCC Bulletin
April 9, 2002 |
Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent... |
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. |
Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. |
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. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
AFP eWire
November 12, 2007 |
Most Americans Not Aware of Advantages of Giving Securities A new report shows that American donors could realize $4.5 billion in additional tax savings if they gave appreciated securities instead of cash, but most are not aware of the tax advantages. |
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. |
Wall Street & Technology
September 18, 2006 |
Cross-Asset STP Sophis introduced a full straight-through-processing module for securities lending and repo for its RISQUE platform. |
Registered Rep.
August 1, 2008 |
Correction The correction of a quote regarding information gathered from brokerage clients invested in auction-rate securities. |
Registered Rep.
September 29, 2008 |
Wachovia, The Bank, Saved by Citi; What Will Happen To Wachovia Securities? Firm Says The AGE Integration To Continue Unaffected Citigroup apparently thinks its got enough financial advisors: Citi declined to buy the retail brokerage business -- Wachovia Securities (and A.G. Edwards) -- and the asset management unit (Evergreen). |
The Motley Fool
May 18, 2005
Selena Maranjian |
Words Matter With Mutual Funds It pays to see how your mutual fund limits itself. |
