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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.  |
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.  |
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. 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.  |
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.  |
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.  |
Investment Advisor October 2007 |
Changes SEC Commissioner Roel Campos will join the law firm of Cooley Godward Kronish... Frank Fernandez died suddenly at age 53... David Kalt, co-founder of optionsXpress, is stepping down as CEO... etc.  |
The Motley Fool October 7, 2004 Selena Maranjian |
Investing With Borrowed Dimes Only invest on margin if you know what you're doing -- and maybe not even then.  |
Registered Rep. November 1, 2004 John Churchill |
Shaky Third Quarter Gives Advisors Pause The last quarter hasn't been great for retail brokerages. Low trading activity and geopolitical uncertainty kept investors on the sidelines, and advisors are feeling the pinch.  |
Registered Rep. July 20, 2005 John Churchill |
Wall Street's Second-Quarter Results: It Could Have Been Worse The big financial services players have released their second-quarter earnings, and most private client divisions didn't do as badly as analysts were expecting -- thanks, in part, to an improving equity market. Charles Schwab... Merrill Lynch... etc.  |
Registered Rep. October 20, 2005 John Churchill |
Merrill Call Center Under Microscope The financial firm's brokerage call centers, its service centers for less complicated and less profitable accounts, are under investigation by the NASD for past improprieties.  |
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.  |
The Motley Fool May 23, 2007 Selena Maranjian |
Brokerage-Related Warnings There's a lot of information for investors at the NASD website. Here are a few topics about which it has recently issued alerts.  |
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.  |
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. December 4, 2006 Kevin Burke |
FIA Urges NASD Committees to Revise Merger Small broker/dealer firms are trying to slow the proposed merger between the NASD and NYSE Regulation, saying that it's being pursued too hastily and the consequences are not clear.  |
Registered Rep. April 8, 2003 Will Leitch |
SIA Calls NASD Proposal Unfair The Securities Industry Association has weighed in negatively on the NASD's proposed changes to the handling of central registration depository (CRD) complaints.  |
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.  |
The Motley Fool September 17, 2004 Selena Maranjian |
Brokerage Statement Bewilderment You don't have to be flummoxed by your financial statements.  |
Registered Rep. November 10, 2005 David A. Geracioti |
News From the SIA Meeting The top executives of the nation's biggest securities firms gathered at their annual meeting and declared that 2005 will go down as one of the industry's best years ever.  |
InternetNews November 17, 2005 David Needle |
Consumer Products Driving Chip Sales The worldwide market for semiconductors is expected to reach record sales levels for the next several years, thanks in large part to consumer demand for smarter and more media-savvy gadgets.  |
Registered Rep. January 22, 2007 John Churchill |
Votes In, NASD and NYSE Merger Likely; Will Dissenters Challenge? The securities industry won't have dual self-regulatory organizations to complain about anymore. The NASD announced over the weekend that member firms overwhelmingly approved to consolidate the NASD and the NYSE into one.  |
InternetNews June 8, 2005 |
Global Chip Sales Revised Upward The Semiconductor Industry Association issued a revised forecast projecting that worldwide sales of semiconductors will grow by 6 percent in 2005 to a record $226 billion.  |
Registered Rep. March 12, 2007 John Churchill |
NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause.  |
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.  |
Financial Planning October 1, 2006 Lynn Hume |
The Bond Buyer A NASD hearing panel has censured and imposed a $5 million fine on American Fund Distributors for directing $98 million in brokerage commissions over three years to 50 broker-dealer firms in order to reward them for being top sellers of its funds.  |
Registered Rep. December 4, 2002 Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations.  |
IndustryWeek October 1, 2001 Tonya Vinas |
Trade Secrets Securities analysts face increasing pressure to disclose investments, compensation ties...  |
InternetNews April 30, 2007 Clint Boulton |
Processor Vendors Chip Away in March, Q1 March chip sales rise from a year ago, but competitive pricing pressure slowed the momentum of Q4 2006.  |
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.  |
Registered Rep. January 24, 2007 John Churchill |
Another Good Year for the Brokerage Industry Fourth-quarter earnings reports are just now rolling in, and they're even better than expected. And it's not just Wall Street's investment-banking divisions that are reeling it in.  |
Registered Rep. October 17, 2006 Kristen French |
Retail Brokerage Has Strong Third Quarter The third quarter shaped up pretty well for the retail brokerage divisions of the big Wall Street firms. Market technicians say we're in the midst of a bull market, and that means things are looking even better for the rest of the year.  |
Registered Rep. November 29, 2006 Kevin Burke |
Small Firms Move to Block NYSE/NASD SRO Merger Not everybody is cheering the formation of a single self-regulatory organization. An insurgency of small brokerage firms is urging their peers to strike down yesterday's announced merger between the regulatory arms of NYSE and NASD.  |
The Motley Fool January 10, 2006 Selena Maranjian |
Brokers' Booming Business A new survey shows Americans clearly understand the benefits and value of investing in equities to reach their long-term financial goals.  |
Registered Rep. April 28, 2005 Kristen French |
Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business.  |
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.  |
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.  |
InternetNews November 4, 2004 Michael Singer |
Chip Sales Slowdown Seen Ahead A less favorable supply-and-demand balance for memory products is putting a damper on an otherwise record-breaking semiconductor sales forecast.  |
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 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. January 4, 2005 Will Leitch |
Brokerages Respond to Tsunami Tragedy As Americans donate to tsunami disaster-relief efforts, the brokerage industry is chipping in as well. According to the SIA, there is no organized industrywide effort to raise relief funds, but individual firms are doing their part.  |
InternetNews November 29, 2004 Michael Singer |
A Light Holiday for Chip Sales Sales of semiconductors continued to inch higher in October, thanks in large part to a frenzy of shoppers seeking digital devices.  |
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. 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.  |
InternetNews June 10, 2004 Michael Singer |
Global Chip Sales Outlook Jumps The Semiconductor Industry Association sees more powerful consumer electronics devices driving steady growth through 2007.  |
Registered Rep. April 29, 2005 Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney.  |