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Registered Rep.
December 1, 2006 |
Comings & Goings Mark Sutton, chairman and CEO of U.S. operations for UBS, has announced his resignation... Stephen Johnson has joined Jackson National Life Insurance Company as the assistant vice president of national accounts... etc.   |
Financial Planning
April 1, 2005
Jennifer A. Liptow |
On the Job Recent moves within the industry: Minneapolis-based Allianz Life Insurance Co. of North America has hired David Parker... Kevin E. Murray has been promoted to executive vice president... Robert Haddad has joined the Financial Planning Association... etc. |
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. |
Registered Rep.
January 1, 2008 |
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association. |
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. |
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). |
Investment Advisor
January 2007 |
Briefs The Certified Financial Planner Board of Standards announced that applications for its 2007 Financial Planning Grants program will be accepted...The Securities Industry and Financial Markets Association released the results of its 10th annual Review of Electronic Transaction Systems... etc. |
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.
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. |
Investment Advisor
February 2008 |
B/D News & Products The Financial Services Institute announce that its board of directors elected Brian Murphy, chairman of Woodbury Financial Services, as chair for 2008... There's a new rate for fees paid under Section 31 of the Exchange Act... etc. |
Insurance & Technology
January 7, 2010
Anthony O'Donnell |
Allianz Life Names Dulka VP, IT Infrastructure and App Maintenance Dulka had served as interim leader of Allianz Life's infrastructure and application maintenance team, where he successfully managed the company's strategic outsourcing contracts. |
Investment Advisor
December 2009 |
GroupThink News from the Financial Planning Associate (FPA), the Investment Company Institute (ICI), and the Securities Industry and Financial Markets Association (SIFMA). |
