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Wall Street & Technology February 27, 2005 Paul Allen	Hedge Fund Services Heat Up "In my view, prime brokers and [hedge] fund administrators will increasingly find themselves competing in the same space in terms of the services they can offer," says Rob Schultz, head of HSBC's alternative fund services for North America.
Wall Street & Technology March 22, 2005 Ivy Schmerken	Black-Box Trading Raises Risk As black-box trading increases, hedge funds are executing orders at a rapid pace by drawing on their credit relationships with prime brokers.
Wall Street & Technology April 27, 2004 Ivy Schmerken	Hedging the Risk of Instant Messaging While hedge funds enjoy the simplicity of trading via IM networks, compliance and reliability concerns have them seeking IM products with built-in archival systems.
Wall Street & Technology February 14, 2006 Paul Allen	Prime Time for Primes Once an esoteric business controlled by three players, the prime brokerage business has become a hotbed of competition as rival banks and brokers have sought to profit from the hedge fund explosion.
Wall Street & Technology March 22, 2005 Maria Santos	Family Matters Northern Trust, already a prominent player in the family office space with approximately $100 billion in assets under administration, expects that the creation of its virtual platform will help it gain even greater market share.
Wall Street & Technology November 23, 2009 Greg MacSweeney	Investors Demand Hedge Fund Transparency Institutional investors are already demanding more transparency from hedge funds. Not to be outdone, regulators are readying new rules for hedge fund reporting.
Wall Street & Technology August 27, 2004 Paul Allen	Custodians Target Compliance Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief.
Registered Rep. October 1, 2002 Rick Weinberg	Morgan Stanley Boosts Pay for Fee Business Morgan Stanley unveiled a new compensation plan for brokers that rewards fee-based business and penalizes transactional business.
The Motley Fool January 18, 2007 John Finneran	Northern Trust: Gloss and Grit Both aspects of the bank's business sparkled this quarter. But you don't need to be glossy and super-rich to own this stock.
The Motley Fool October 21, 2011 Dan Caplinger	3 Surprising Stocks Tapping Into Wall Street's Riches There's a secret way you can tap into the Wall Street profit machine -- and three stocks you can use to get there: Bank of New York Mellon... Northern Trust... State Street...
Wall Street & Technology April 30, 2007 Ivy Schmerken	Unexpected Surge in Trading Volumes and Volatility Raises Infrastructure Concerns for Hedge Funds The market decline of Feb. 27 has prompted hedge funds to rethink their trading infrastructures to ensure they can cope with higher volumes and volatility.
Wall Street & Technology November 29, 2004 Jim Middlemiss	CIO Challenge As hedge funds soar, winning their order flow has become more vital than ever. To compete for that business, brokers and other providers need to offer hedge fund managers wider access to markets and trading products, and break down silos to improve integration.
Wall Street & Technology October 24, 2007 Larry Tabb	Larry Tabb Predicts Financial Trends for 2008 Financial industry trends that will become more significant throughout the coming year.
Registered Rep. June 25, 2003 Nigel Goodman	Tech Spending on the Wane Technology spending is dropping at securities firms, and some reps are starting to feel the pinch.
Wall Street & Technology February 4, 2005 Larry Tabb	Risk in a Real-Time World The world is getting riskier. Not only has geopolitical strife changed compliance risk, but new trading, governance and capital-allocation mechanisms are changing traditional risk measures as well.
Wall Street & Technology April 26, 2007 Larry Tabb	Today's Money Managers Are Leveraging Funds Into Alternative Investment Products The number of short positions will increase as more fund managers employ leverage. Traditional buy-side managers would need the technology and risk management expertise to effectively manage these more-leveraged positions.
Bank Systems & Technology October 14, 2008 Orla O'Sullivan	Tabb Names Banks Goldman, Morgan Are Likely To Purchase Bank of New York Mellon, State Street and Northern Trust are all likely acquisition candidates for Goldman Sachs and Morgan Stanley as the two former investment banks begin operating under commercial bank charters.
Wall Street & Technology April 14, 2008 Larry Tabb	Opportunities Beckon Amid Economic Turmoil A shaky economy and the defibrillation of many fixed-income products provide fertile ground for automated trading, fixed-income ECNs and exchanges - as well as opportunities for those willing to take some calculated risk.
Wall Street & Technology March 21, 2006 Tim Lind	Counterparty Data Challenge Knowing the total relationship a financial institution has with its customer and its counterparty is key -- but only if the data is trustworthy.
Wall Street & Technology February 12, 2004 Ivy Schmerken	Online FX Systems Eye STP As e-foreign-exchange-trading portals vie for volume, hedge funds and STP solutions are on the radar screen.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Wall Street & Technology October 23, 2008 John S. Chen	Is This Crisis Different? Not Really Despite popular sentiment that the financial meltdown of 2007-08 is unique in history, we can glean lessons from earlier crises to make better decisions for our businesses.
Wall Street & Technology February 4, 2005 Jessica Pallay	Lamenting Latency "If buy-side firms want to actively trade and aggressively try to execute on their own behalf, they need tools to compete with the brokers who are sitting on the fattest pipes and have the highest-speed technology," says Larry Tabb, founder and CEO of Westborough, Mass.-based The Tabb Group.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
On Wall Street May 1, 2012 John D'Antona Jr.	Seeking a More Livable Volcker Rule Big banks and broker-dealers are seeking changes to the Volcker rule that will make it easier for them to comply with its requirements and still allow them to execute for their clients.
Registered Rep. January 12, 2006 John Churchill	UBS Dinged $50 Million for Market Timing New York Stock Exchange Regulation, along with the New Jersey Bureau of Securities, today announced that UBS Financial Services was fined $49.5 million for failure to supervise the deceptive market timing activities of its brokers.
The Motley Fool November 24, 2010 Dan Caplinger	Get What You Want From Your Broker Rather than imposing a one-rule-fits-all approach to fiduciary duty, what the SEC should do is give customers the ultimate choice when it comes to deciding what relationship they want with their brokers.
The Motley Fool October 31, 2006 Michael Leibert	Northern Trust on Shakier Ground Third-quarter results prove the bank vulnerable to volatile revenue sources. Investors, take note.
Registered Rep. March 1, 2006 David Weiss	Living with Reg SHO The new regulation opened up the possibility of completing a short sale without worrying if it complied with the uptick or bid test, and put into affect rules requiring greater effort on the part of brokers and other participants in the securities industry to ensure that short sales were covered.
Wall Street & Technology March 14, 2008	Credit Crisis Places IT Budgets in Question (Again) The subprime mortgage mess and credit crunch are impacting financial firms' IT budgets in different ways. But if the multi-billion dollar write-downs continue, one thing is for sure: technology budgets will be in flux for the remainder of the year.
Registered Rep. January 17, 2003 Rick Weinberg	Pru Tells Admin Managers To Dump Books Prudential Securities informed all of its administrative managers at the beginning of the year that if they were also producing brokers, they were no longer going to be paid commissions, according to sources.
Bank Technology News November 2004 Shane Kite	Trading: Direct Execution Players Get Beefy Banks and brokers are stocking up on tech and management tools, bundling direct access with algorithmic trading, as the industry gets more competitive than ever.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Wall Street & Technology June 29, 2005 Ivy Schmerken	Reinventing the Relationship Technology and regulatory scrutiny have placed pressure on the buy-side traders to figure out how much it is paying for executions.
Registered Rep. June 24, 2004 John Churchill	Morgan Stanley Sued by New Hampshire Regulators New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules.
The Motley Fool June 2, 2006 John Finneran	Hedge Fund Wizards Money managers cast spells over the market -- and reap huge rewards. Hedge funds operate in a haze. Penetrating how they earn returns and take risks is tough, but is a good exercise for investors.
The Motley Fool October 16, 2008 Alex Dumortier	Schwab Offers Nice Numbers, but Is It a Buy? Chuck shows them how it's done.
Wall Street & Technology February 4, 2005 Ivy Schmerken	Algorithmic Trading Buy-side firms are gravitating toward rules-based systems that are often supplied by brokers. These mathematical models analyze every quote and trade in the stock market, identify liquidity opportunities and turn that information into intelligent trading decisions.
Wall Street & Technology October 23, 2007 Ivy Schmerken	Connectivity Booms in Emerging Markets As demand for investing in emerging and frontier markets picks up, buy- and sell-side firms are hunting for networks and trading systems that allow them to operate in foreign markets without necessarily being experts in the local rules themselves.