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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.
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. |
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.
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. |
InternetNews
August 7, 2007
Andy Patrizio |
Sun Plans More Job Cuts Despite a successful quarter that surpassed analysts expectations, Sun Microsystems is poised for more job cuts. |
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
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. |
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.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
InternetNews
November 4, 2009 |
Microsoft Laying Off More Workers For any Microsoft employees who thought the layoffs were over last spring, that appears to have been a bad assumption. |
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... |
Bank Technology News
June 2003 |
By the Numbers Total IT spending in the American securities industry is set to decline for the second year in a row. That's not just a big story, it's a huge one. |
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. |
InternetNews
May 31, 2006
Andy Patrizio |
Big Cuts at Sun, Up to 5,000 Layoffs Despite earlier promises, new CEO Jonathan Schwartz will lop off 11-13 percent of Sun's workforce. |
Inc.
July 2009
Nadine Heintz |
Six Ways to Prepare for the Recovery Steps you can take now to plan for the end of the recession. |
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. |
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.
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. |
BusinessWeek
November 3, 2003
Dean Foust |
Corporate Profits Are On A Tear Results soared in the third quarter -- and look to remain strong next year, too |
IndustryWeek
October 1, 2001
Tonya Vinas |
Trade Secrets Securities analysts face increasing pressure to disclose investments, compensation ties... |
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. |
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. |
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. |
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. |
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. |
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. |
InternetNews
May 1, 2009
Andy Patrizio |
Is the Chip Canary Starting to Tweet Again? Chip sales are up slightly for March, but it's too soon to pop the champagne corks. |
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
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
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. |
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. |
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. |
Wall Street & Technology
June 4, 2004 |
The Analysts' View What's next? Algorithmic trading or old, faithful STP? Industry analysts make their predictions. |
Financial Advisor
September 2011
Evan Simonoff |
Lessons For Everyone The saga of the last few months provides lessons for all financial advisors wrestling with the problem of finding ways to generate retirement income in a world of near-zero interest rates. |
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. |
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. |
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. |
BusinessWeek
January 12, 2004 |
Banking: It'll Take More Than Free Toasters With the mortgage boom over, bank profits could be less than half of last year's. If M&A activity doesn't pick up, Wall Street may be in for a tough slog |
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.
September 14, 2006
Halah Touryalai |
NASD Fines Securities America for Failure to Supervise Securities America was fined $2.5 million for failing to supervise an advisor who allegedly lured clients into early retirement with exaggerated promises of high returns. |
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. |
InternetNews
October 2, 2009 |
Report: Chip Sales Rose Five Percent Latest SIA report notes improvements were across all regions and all types of products, but the industry is still well down for the year. |
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 |
U.S. Banker
May 2010 |
Be Patient and Let Margins Expand with Time Here are three actions banks can-and should-take today to ensure stronger margins in the future. |
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.
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. |
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. |
