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Registered Rep.
November 9, 2006
Kevin Burke |
SIFMA Launch: Group Seeks Greater Clout in Washington, Single Regulatory Framework Purveyors of stocks and bonds officially joined forces this week to form one of the most powerful lobbying groups on Capitol Hill. The former Securities Industry Association (SIA) kicked off its newly consummated marriage to the Bond Market Association (BMA).   |
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. |
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.
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. |
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.
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. |
Registered Rep.
January 1, 2008 |
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association. |
Registered Rep.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
Financial Planning
January 1, 2007
Marshall Eckblad |
On the Job Allianz Life Insurance Co. has named Mike Jorgensen president of USAllianz Securities, the company's independent broker-dealer... The Financial Planning Association in Denver has elected Mark Johannessen as president elect for 2007... etc. |
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. |
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.
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.
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. |
Registered Rep.
December 1, 2006
Kevin Burke |
SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all? |
Registered Rep.
November 11, 2002
Will Leitch |
Fraud, Dishonesty Are Retail Investors' Big Concerns As you might have guessed: Retail investors' satisfaction with brokerages -- and individual brokers -- have declined, according to the Security Industry Association (SIA) annual investors' attitudes survey. |
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.
June 1, 2006
Kristen French |
Brokers Do Their Part for GDP Growth The financial-services industry gave a big hand to the American economy last year, which registered real GDP growth of 3.5%. |
Financial Planning
July 1, 2006
Lynn Hume |
TBMA Launches Bond Indexes The Bond Market Association published the first of a weekly series of eight indexes covering different kinds of auction-rate securities. The indexes are designed to give issuers and investors benchmarks to evaluate the rates they are getting on securities sold through the auction process. |
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. |
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.
November 8, 2007 |
Securities Lobby To Members: We've Done Good In 2007, But We Need To Whip Washington Into Shape The securities industry's biggest lobby holds its annual meeting, filled with praise for its own efforts, and harsh words for Congress. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
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. |
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. |
Wall Street & Technology
January 5, 2004
Ivy Schmerken |
Favorite Few Rule E-Bond Trading Seventy-five electronic-trading platforms are competing in the fixed-income market, but a few core systems have most of the volume. |
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. |
IndustryWeek
October 1, 2001
Tonya Vinas |
Trade Secrets Securities analysts face increasing pressure to disclose investments, compensation ties... |
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.
October 24, 2007
Karen Donovan |
Arbitration Works, Says SIFMA; No It Doesn't, Says PIABA The Securities Industry and Financial Markets Association released a "white paper" today about how well the mandatory arbitration system works. SIFMA is trying to steal the thunder of the plaintiffs' bar, which is pushing Congress to nullify agreements to arbitrate in customer contracts. |
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. |
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. |
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. |
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.
April 2, 2013 |
60 Seconds with Chet Helck Chet Helck is Chair of the Securities Industry and Financial Markets Association, and CEO of the Global Private Client Group at Raymond James Financial. |
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. |
