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Wall Street & Technology February 12, 2004 Anthony Guerra |
New Regs Keep BCP Center Stage After Sept. 11, NASD and the NYSE want to ensure that their members are ready if Wall Street is ever targeted again.  |
Wall Street & Technology July 1, 2005 Anthony Guerra |
SIA Seeks VoIP Deal Phase 1 of a Securities Industry Association pilot program has begun to find one or two Voice over IP vendors that best meet the industry's needs for everything from disaster recovery to communicating on the trading floor.  |
Wall Street & Technology May 25, 2005 Anthony Guerra |
Operation Topoff The trade associations that are responsible for ensuring that the financial services industry is ready to respond to a terrorist attack found April's Topoff 3 test the perfect backdrop against which to test their procedures.  |
Wall Street & Technology September 21, 2004 Maria Santos |
Fine-tuning the BCP Sept. 10 marked the last of several SEC-approved deadlines for NASD and New York Stock Exchange members to implement business continuity standards.  |
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. 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.  |
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.  |
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.  |
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 October 27, 2003 Anthony Guerra |
BCP's Balancing Act Setting up a business continuity plan (BCP) is like buying insurance -- everyone wants full coverage but not everyone can afford it.  |
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.  |
Wall Street & Technology April 27, 2004 |
BCP Spending to Plateau Although spending on business-continuity planning (BCP) in the securities industry rose considerably from 2001 to 2003, reaching $2.5 billion, a 57% increase, spending is expected to rise only marginally in 2005 and then decline in 2006, according to a recent TowerGroup report.  |
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.  |
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 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.  |
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.  |
The Motley Fool July 5, 2006 S.J. Caplan |
Terrorism and Market Preparation The market proved itself robust in the aftermath of Sept. 11 and is more prepared and resilient now than ever to face a future threat. The industry is correctly focused more on resolving the effects of a disaster rather than pinpointing the cause.  |
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.  |
Wall Street & Technology January 5, 2004 Anthony Guerra |
Acronyms Abound in Operations IM, BCP and STP are all part of the alphabet soup that operations professionals grapple with every day.  |
Wall Street & Technology September 23, 2005 Maria Wakem |
Boosting BCP Tragedies like the London bombings will serve as unfortunate reminders that financial institutions must continue to be vigilant in their business continuity planning and to improve IT's role therein.  |
Popular Mechanics November 19, 2009 Joe P. Hasler |
Top 6 North American Meteor Showers You Don't Want to Miss A list of upcoming meteor spectacles in the sky.  |
Wall Street & Technology September 23, 2005 Greg MacSweeney |
BCP: Murphy's Law Applies When it comes to BCP, shortsightedness and lack of top-down leadership may be the greatest danger. Just because there hasn't been a need to invoke a business continuity plan doesn't mean that something won't happen tomorrow.  |
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 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.  |
The Motley Fool October 16, 2008 Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money?  |
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.  |
Bank Systems & Technology June 13, 2007 Nancy Feig |
Avian Flu: Are Banks' IT Systems Ready? The U.S. financial services industry will test its ability to respond to an avian flu pandemic with an exercise to begin in late September that will be sponsored by the U.S. Treasury Department.  |
Wall Street & Technology July 26, 2004 Paul Allen |
SIA Unfurls STP Banner Again "Yes" to straight-through processing (STP), "no" to T+1. That's the message that came out of the Securities Industry Association (SIA) as it responded last month to the recent SEC concept release on ways to improve the safety and operational efficiency of the U.S. clearance and settlement system.  |
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. 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.  |
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.  |
Wall Street & Technology June 4, 2004 |
The Analysts' View What's next? Algorithmic trading or old, faithful STP? Industry analysts make their predictions.  |