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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.   |
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
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.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
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.
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. |
InternetNews
February 16, 2005
Paul Shread |
Storage Vendors Reap Backup Benefits A $2.1 million SEC settlement shows why compliance is a hot market. Businesses are spending big bucks to comply with data protection regulations such as Sarbanes-Oxley, HIPAA and various SEC and NASD regs, making storage vendors big beneficiaries of the compliance wave. |
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. |
Registered Rep.
September 10, 2002
Rick Weinberg |
Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims. |
OCC Bulletin
September 8, 2000 |
Privacy Laws and Regulations This document is designed to assist national banks and their subsidiaries in complying with federal laws and regulations relating to the disclosure of consumer financial information... |
Wall Street & Technology
March 1, 2004 |
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions. |
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. |
Registered Rep.
April 1, 2005
Bill Singer |
Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter. |
Entrepreneur
March 2007
Nichole L. Torres |
Playing By The Rules Excited to start your business, but ready to run when it comes to dealing with government regulations? |
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. |
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. |
BusinessWeek
November 17, 2003
Gary Weiss |
Too Little, Too Late, Mr. Reed? Many feel interim chairman John Reed's NYSE reforms don't go far enough -- so the SEC may step in. |
Bank Technology News
September 2003
Karen Krebsbach |
Blackout Snooze After three years of building the business continuity bridge, firms were ready when the lights went out. |
Financial Planning
February 1, 2005
Steven K. McGinnis |
Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects. |
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. |
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.
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.
December 15, 2005
John Churchill |
Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost. |
Registered Rep.
January 12, 2004
Will Leitch |
Extended Life for Controversial NASD Initiative A controversial NASD initiative that would give investors easy access to complaints against brokers is undergoing some change, but it's looking increasingly likely to come to fruition. |
Registered Rep.
November 1, 2006
Bill Singer |
Secret Agreements with Clients Can Backfire Developing NASD enforcement trends: NASD Conduct Rule 2330: Customers' Securities or Funds... NASD Conduct Rule 2370: Borrowing From or Lending to Customers... etc. |
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. |
