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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. November 9, 2006 Kevin Burke |
SIFMA Launch: Group Seeks Greater Clout in Washington, Single Regulatory Framework Purveyors of stocks and bonds officially joined forces this week to form one of the most powerful lobbying groups on Capitol Hill. The former Securities Industry Association (SIA) kicked off its newly consummated marriage to the Bond Market Association (BMA).  |
Registered Rep. November 4, 2004 David A. Gaffen |
Serenity Reigns in Boca Raton Perhaps it was the recent victory of President Bush that heartened this business friendly crowd, or the tranquil Boca Raton setting, but the annual Securities Industry Association conference exudes an oddly serene tone.  |
Registered Rep. November 7, 2002 |
SIA Conference: Let's Get Confident! Rudy says: I won't take SEC helm if asked. It's official: It's a time for "building investor confidence." That's the theme of this year's Securities Industry Association gabfest, held at the tony Boca Raton Resort & Club in Boca Raton, Fla. Never mind that SEC Chairman Harvey Pitt resigned two days ago. Think positively.  |
Wall Street & Technology January 6, 2006 Ivy Schmerken |
Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms?  |
Registered Rep. March 9, 2006 Halah Touryalai |
NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care?  |
Registered Rep. November 11, 2005 David A. Geracioti |
Cox to SIA: No Regulatory Rollback When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. But Christopher Cox's first speech to the Securities Industry Association was to the contrary.  |
Registered Rep. November 6, 2003 David A. Geracioti |
The Sun Also Rises It's the best of times and the worst of times for the securities industry, said Marc Lackritz, the president of the Securities Industry Association.  |
Investment Advisor June 2006 Melanie Waddell |
Retirement Planning: News & Products Baby boomers and seniors -- don't confuse the two... SEC Chairman Christopher Cox is on his own crusade to fight senior fraud... John Hancock introduced a new survivorship universal life insurance policy... etc.  |
Registered Rep. October 7, 2004 Will Leitch |
A `Bull Market' in Regulation Lamented at the SIA Small Firms Conference There is plenty of worry on the minds of attendees of the Security Industry Association's Small Firms Conference this week. It centers on regulations and Bush vs. Kerry.  |
Financial Planning August 1, 2006 Lynn Hume |
The Bond Buyer The Bond Market Association and the SIA have voted to merge the two groups and form the Securities Industry and Financial Markets Association. The merger is designed to create a more powerful voice in the legislative and regulatory arenas as well as in the financial markets.  |
Registered Rep. July 30, 2003 Will Leitch |
SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.  |
Registered Rep. June 2, 2004 Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.  |
Investment Advisor October 2008 |
Catching up with... Dick Averitt A short conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services.  |
Registered Rep. December 14, 2005 David A. Geracioti |
NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators.  |
Investment Advisor December 2006 Kathleen M. McBride |
Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.  |
Financial Advisor June 2004 Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.  |
Registered Rep. December 4, 2002 Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations.  |
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.  |
Investment Advisor March 2007 Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.  |
Registered Rep. April 1, 2005 Will Leitch |
Boomers Reject Their Parents Merrill Lynch is taking a radical new look at how retirement and baby boomers are perceived --- and it could change the way their advisors structure their retirement businesses.  |
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.  |
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.  |
Investment Advisor October 2007 Melanie Waddell |
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.  |
Registered Rep. September 10, 2009 Kristen French |
Gorman Grabs Morgan Stanley CEO Slot James Gorman, the former head of Morgan Stanley's retail brokerage division and now co-president of the firm, is slated to take over the CEO job in January, 2010.  |
Registered Rep. September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.  |
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. February 24, 2005 Will Leitch |
Merrill Unveils New Way to Think about Retirement A new study from Merrill Lynch asserts that the oft-predicted baby boomer retirement crisis will be a nonevent for one important reason: Most boomers plan to work during their so-called "retirement years."  |
Financial Planning February 1, 2007 Marshall Eckblad |
5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.  |
Registered Rep. December 1, 2004 David A. Gaffen |
Merrill Watching Consolidation with Eyes Wide Open James Gorman, head of Merrill Lynch's private client group, believes the brokerage industry will continue to consolidate in the coming years.  |
Registered Rep. September 1, 2005 Karen Jones |
Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?  |
Registered Rep. August 1, 2004 Will Leitch |
The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.  |
Investment Advisor January 2009 Kara P. Stapleton |
New Year, Same Issues? It's no secret that the securities and investments industry in 2009 will be shaped by the ramifications of 2008's events.  |
Registered Rep. June 21, 2007 John Churchill |
New Name, New Agenda for NASD/NYSE Entity SIRA stands for Securities Industry Regulatory Authority, which will be the largest self-regulatory organization in the world.  |
Financial Advisor December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.  |
The Motley Fool November 29, 2006 S.J. Caplan |
There's a New Sheriff Coming to Town The NASD and NYSE are to consolidate regulatory functions.  |
Registered Rep. December 1, 2006 Kevin Burke |
SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all?  |
Investment Advisor July 2008 Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.  |
On Wall Street July 1, 2009 Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.  |
Registered Rep. December 1, 2004 Will Leitch |
SOS It is an ominous time for small broker/dealers, for everyone from the chairman to the local rep. As always, the best way through the uncertainty is ingenuity.  |
Registered Rep. May 14, 2007 Kevin Burke |
NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs.  |
Registered Rep. November 30, 2007 Halah Touryalai |
Morgan Stanley Management Shuffle: Cruz Out, Gorman In Morgan Stanley underwent a major management shakeup yesterday -- effective tomorrow.  |
Registered Rep. November 11, 2002 Will Leitch |
Fraud, Dishonesty Are Retail Investors' Big Concerns As you might have guessed: Retail investors' satisfaction with brokerages -- and individual brokers -- have declined, according to the Security Industry Association (SIA) annual investors' attitudes survey.  |
Registered Rep. September 27, 2002 David A. Gaffen |
Without Mentioning Schwab by Name, Merrill's Gorman Bites Back Speaking at SIA's Retail Management Conference in Chicago, James Gorman, president of Merrill Lynch's private client group, directed blunt comments at those who imply that Merrill and other big wirehouses are "boiler rooms."  |
Registered Rep. August 1, 2005 Matt Barthel |
The Ten to Watch 2005: Learning to Live With the New Normal Lately, there is a palpable sense of acceptance in the brokerage industry that the new regulatory climate is likely to be a permanent one. Heralds of the new order: John Mack... Chris Cox... etc.  |
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.  |
Financial Planning February 1, 2012 John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.  |
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.  |
Registered Rep. July 1, 2005 Bill Singer |
An Industry in Need of Counseling The relationship between regulators and the brokerage industry lately resembles that of a long-term union that's hit the rocks, and the pair could benefit from opening up a little more to each other.  |
Wall Street & Technology November 26, 2007 Melanie Rodier |
Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently.  |