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Wall Street & Technology June 21, 2004	Spending Stats TowerGroup VP estimates that the North American securities market will spend $71.5 billion on technology this year.
Wall Street & Technology October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
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.
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.
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.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
Wall Street & Technology April 14, 2006	Reconciliation to Grow Steadily An increased repertoire of functionalities is bringing reconciliation systems out of the shadows of the back office and into the spotlight.
Insurance & Technology November 14, 2007 Kim Dorgan	Life Insurance Industry Would Benefit From Optional Federal Charter The future of insurance regulation remains one of the most critical issues facing the life insurance industry.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
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.
Wall Street & Technology January 5, 2007	IM Invasion A new TowerGroup research note explores the pervasiveness of instant messaging in securities firms and discusses the reasons behind its popularity.
Reason March 2007 Katherine Mangu-Ward	Data In 2005, 24 out of 25 of the year's largest initial public offerings took place outside the United States. Does that mean American capital markets are losing their appeal?
Investment Advisor March 2008 Kara P. Stapleton	Keeping Up Quote: Rob Hegarty, managing director of TowerGroup's Securities & Investments practice.
Insurance & Technology July 25, 2005 Katherine Burger	A Matter of Time Federal regulation of the U.S. insurance industry is coming - maybe not this year, or even for a few years, but it is inevitable.
Wall Street & Technology August 22, 2006	Corporate Actions Trip Up STP According to TowerGroup Research An integral part of today's capital markets, corporate actions processing remains the largest stumbling block to the financial services industry's attempt at realizing straight-through processing, according to new research.
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. 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.
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.
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.
Registered Rep. August 18, 2004 Will Leitch	FRC Says Wholesalers About to Go Through Wholesale Changes The study, which looks at the effects of the mutual fund scandals on the brokerage industry, gives a preview of the possible results of new regulation.
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.
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. June 25, 2009 Halah Touryalai	Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry.
The Motley Fool October 16, 2008 Zoe Van Schyndel	The Risky Business of Securities Lending Is your mutual fund betting with your money?
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.
Wall Street & Technology January 5, 2007	Demand for Depository Receipts to Stay Strong According to a new report, global market consolidation will not spell the end for the international depository receipt as a financial instrument.
Investment Advisor January 2009 Melanie Waddell	Watch Out. Reform In on the Way As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms will actually be put into place.
Registered Rep. June 20, 2006 John Churchill	NYSE Chief John Thain Attacks "Excessive" Regulation Speaking at the second annual NYSE Regulation conference in New York, the NYSE Group CEO took on what he called "excessive" regulation as being one of the factors responsible for driving capital-raising activity outside the U.S.
Investment Advisor April 2007 Kara P. Stapleton	News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc.
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.
Registered Rep. July 1, 2004 Will Leitch	The End of the World as We Know It? Is the traditional model for securities houses --- investment banking, research, asset management, retail brokerage all coexisting under one roof --- more trouble than it's worth?
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.
OCC Bulletin April 9, 2002	Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent...
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.
Wall Street & Technology September 23, 2005	Financial IT Megatrends In addition to traditional IT spending, financial services institutions will invest another $100 billion in external spending on business process transformation by 2010. Here are five megatrends to watch.
Registered Rep. March 2, 2006 John Churchill	NASD Promotes Its Online Education Program Called the E-learning Exchange, the NASD created the online education tool for reps and firms last May in order to help securities firms head off compliance and regulatory problems before they start.
OCC Bulletin June 26, 2003	Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
OCC Bulletin January 15, 2004	Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16.
Financial Advisor June 2004 Gary Schneider	Fund Industry Being Forced In Wrong Direction In the aftermath of some of America's biggest scandals in the history of the mutual fund industry, proposed standards are wrongheaded and unnecessary.
Registered Rep. August 21, 2006 Kristen French	NYSE and NASD Hold Merger Talks It is not yet clear whether a deal will actually go through, or whether the financial regulators would merge their arbitration systems or keep them separate.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
HBS Working Knowledge April 23, 2008 Dwight Crane	The Gap in the U.S. Treasury Recommendations U.S. Treasury recommendations for strengthening the regulation of the financial system are a good start but fall short, says Harvard Business School professor emeritus Dwight B. Crane.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Reason January 2005 Julian Sanchez	Data Unhealthy Regulations: Many Americans see government regulation as the only way to ensure high-quality health care and broad access to medical services.
Insurance & Technology April 3, 2008 Katherine Burger	No Surprises in Insurance Industry's Mixed Reception for Treasury Department's Endorsement of Optional Federal Charter Concerns about competitive advantage inspired the life insurance industry's welcome of the Treasury's call for an optional federal charter as part of broad regulatory reform proposals for financial services.
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.
Registered Rep. October 27, 2009 Halah Touryalai	Schapiro: Don't Expect Respite From Reform Securities and Exchange Commission Chairman Mary Schapiro lays out a number of regulatory issues the SEC will be paying close attention to in the coming months.
Wall Street & Technology February 19, 2008 Melanie Rodier	SIFMA Appoints Tim Ryan CEO The Securities Industry and Financial Markets Association has appointed Tim Ryan its new CEO.