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- On The Job
- The Financial Planning Association in Denver has named attorney Daniel Barryas director of government relations. Barry previously worked at the former Securities Industry Association. First Allied Securities in San Diego has hired Keith Gregg to serve as the broker-dealer's president and co-CEO. Morningstar in Chicago announced that...
- Research articles 2007-09-01
- IT'S ALL IN THE DETAILS FOR PLANNED SIA, BMA MERGER
- Now that the concept of merging the Bond Market Association and the Securities Industry Association has been endorsed by the trade groups' boards of directors, a number of things have to be decided if the new entity is to become a reality. That includes giving the revamped organization a name....
- Research articles 2006-06-01
- The Bank of New York Company, Inc. Appoints Richard F. Brueckner Senior Executive Vice President
- NEW YORK -- The Bank of New York Company, Inc. announced today that Richard F. Brueckner, chief executive officer of Pershing LLC, a subsidiary of The Bank of New York Company, Inc. has been appointed senior executive vice president of The Bank of New York. Mr. Brueckner will continue to...
- Research articles 2006-05-31
- Some Executives Want to Repeal SOX
- The Sarbanes-Oxley Act of 2002 SOX, passed in the wake of the Enron and WorldCom scandals, is not popular among executives. According to a study from Korn/Ferry International, an executive recruiting service, more than half (58 percent) of U.S. boards of directors believe SOX regulations should be repealed or overhauled....
- Research articles 2006-05-01
- On the road
- What: National Regulatory Services' Annual Spring Compliance Conference When: April 17-20 Where: Westin Mission Hills Resort, Palm Springs, Calif.; (760) 328-5955; www.starwoodhotels.com/westin How: Via Palm Springs International Airport, Ontario International Airport (70 miles) or Los Angeles International Airport (110 miles); or by train/bus to downtown Palm Springs...
- Research articles 2006-03-01
- Calendar
- April 17-20 Annual Spring Compliance Conference, National Regulatory Services, Palm Springs, Calif. (860) 435-0200, or www.nrs-inc.com/conf/compissue April 30-May 3 Annual Conference, National Association of Active Investment Managers, Phoenix (888) 261-0787, or www.naaim.org May 4-5 Savings & Retirement Symposium, Securities Industry Association, Ft....
- Research articles 2006-03-01
- Third-quarter returns include strong results.(WIREHOUSES)
- PROFITS HAVE TICKED UP NICELY AT MANY WIREHOUSE brokerage units thanks to rising sales and assets. Morgan Stanley's margins are noticeably weak, though, as the firm tries to turn around broker results. The Securities Industry Association predicts that industry profits for 2005 should...
- Research articles 2005-12-01
- Manning Rules Again
- A new NASD rule set to go into effect next month will cut into the profitability of Nasdaq market makers. The NASD recently received approval from the Securities and Exchange Commission to extend Manning limit order protection to market orders. The new Rule 2111 prohibits a dealer from trading...
- Research articles 2005-12-01
- Manning Rules Again.
- A new NASD rule set to go into effect next month will cut into the profitability of Nasdaq market makers. The NASD recently received approval from the Securities and Exchange Commission to extend Manning limit order protection to market orders. The new Rule 2111...
- Research articles 2005-12-01
- Wall Street's '05 Profits To Edge Up
- Wall Street is back-but not quite better than before. Industry profits for 2005 are expected to reach $21.21 billion, up 2.4% from the $20.72 billion earned in 2004, according to the most recent Research Report from the Securities Industry Association. But that's still an 11.8% decline from $24.05...
- Research articles 2005-11-01
- Calendar
- Nov. 9-11 Annual Meeting, Securities Industry Association, Boca Raton, Fla. (212) 618-0595, or www.sia.com/boca2005 Nov. 10 AdvisorIntelligence Conference, Litman/Gregory, Lafayette, Calif. (925) 254-8999, or www.advisorintelligence.com/conference/2005 Nov. 13-15 Asset Allocation and Risk Management Strategies, Strategic Research Institute, Scottsdale, Ariz. (800) 599-4950, or www.srinstitute.com ...
- Research articles 2005-11-01
- Calendar.(Calendar/Datebook)
- OCTOBER 18-21 - Twentieth annual Fall Compliance Conference, National Regulatory Services. Loews Miami Beach (Fla.) Hotel. (860)435-0200 or nrs-inc.com. 18-21 - East Coast National Convention, Investors Capital Corp. Boston Park...
- Research articles 2005-10-17
- Marketplace
- Investments AIG MULTIMANAGED GROWTH FUND AIG SunAmerica Asset Management Corp. has launched its closed-end, multimanaged Focused Alpha Growth Fund. Marsico Capital Management is the fund's large-cap subadviser and chooses 10 stocks to account for about 65% of the portfolio. BAMCO Inc. Baron is the small- and mid-cap subadviser...
- Research articles 2005-10-01
- Calendar.(Calendar/Datebook)
- SEPTEMBER 14 - Portable Alpha, Financial Research Associates LLC. The New York Helmsley Hotel. (800)280-8440 or frallc.com. 14 - Second annual Public Policy Day, Financial Services Institute. Capital Hilton Hotel, Washington. financialservices.org. ...
- Research articles 2005-09-12
- Securities Industry Association capital markets handbook, 6th ed
- KF1070 2001-266708 0-7355-5032-8 Securities Industry Association capital markets handbook, 6th ed. Title main entry. Ed. by John C. Burch, Jr. and Bruce S. Foerster. Aspen Publishers, Inc., [c]2005 --p. $185.00 The 6th edition of this handbook contains revisions and updates that include...
- Research articles 2005-08-01
- Howard J. Schwartz Appointed Chairman and CEO of Tradeware Systems
- NEW YORK -- The Wall Street business leader, who built Lynch, Jones & Ryan into an institutional discount brokerage powerhouse, brings vision, experience and relationships to the world's largest broker-neutral liquidity network. Tradeware Systems Corp., a leading provider of Financial Information eXchange FIX-based electronic order management systems and direct...
- Research articles 2005-06-28
- InterSearch Group Unveils Search Equity Corporate Search Engine Technology at SIA Technology Show
- NEW YORK -- New proprietary search engine technology called Search EquityTM is being introduced this week at the Securities Industry Association SIA Technology Trade show in New York by InterSearch Group, Inc. (OTC:ISGP). San Francisco-based InterSearch Group owns and operates several Pay Per Click PPC Internet search engines and...
- Research articles 2005-06-21
- Comtex Introduces New Wall Street Horizon Products
- NEW YORK -- Comtex News Network, Inc. (OTCBB:CMTX), a leading provider of economically useful electronic real-time news and content, today introduced new, innovative financial information products from Wall Street Horizon, Inc. Chip Brian, President of Comtex, presented these new products to investment firms at the Securities Industry Association Technology Conference...
- Research articles 2005-06-21
- Delaware Law Change Will Save Investors Millions of Dollars; DTCC Says National Drive to Eliminate Paper Certificates Picking up Steam
- NEW YORK -- By eliminating its legal requirement that companies issue paper stock certificates, Delaware's state legislature will save investors and companies millions of dollars a year, said Jill M. Considine, chairman and CEO of The Depository Trust & Clearing Corporation DTCC, which handles the post-trade processing and settlement of...
- Research articles 2005-05-24
- Calendar.(Calendar/Datebook)
- MARCH 17 - 401k Summit, American Society of Pension Actuaries. Manchester Grand Hyatt, San Diego. (703)516-9300. 17 - Fifth annual Anti-Money-Laundering Compliance Conference, Securities Industry Association. Grand Hyatt, New York. (202)216-2000 or sia.com. ...
- Research articles 2005-03-14
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