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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 January 5, 2007	Securities Lending Continues Growth Initially a back-office function handled by large banks and broker-dealers, securities lending now is a major front-office function that occupies a prominent position in many broker and custodian offices.
Registered Rep. February 8, 2004 Will Leitch	IT Spending Expected To Rise in 2004 A new study asserts that Wall St. firms are ready to address one of reps' most common complaints in recent years: the lack of resources devoted to internal infrastructure, especially technology.
Bank Technology News November 2001 David Rountree	Securities Industry Grapples with STP Challenges To completely automate the trade process, U.S. firms will have to spend billions to overcome a bevy of complex obstacles...
Wall Street & Technology January 20, 2008 Cory Levine	Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification.
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.
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.
Registered Rep. May 26, 2005 John Churchill	Online Brokerages Bickering TD Waterhouse avoided a lawsuit from Charles Schwab yesterday by issuing a public apology for a negative portrayal of the firm in its ads.
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.
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.
Wall Street & Technology February 15, 2007 Cory Levine	Mayiz Habbal Joins Celent From Oracle-Siebel Celent has appointed Mayiz Habbal as the new managing director of its securities and investments group.
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
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.
CIO November 15, 2001	Department of Big, Scary Numbers Projected number of layoffs in the airline industry through 2002... U.S. Internet users who visited news sites the week of Sept. 11... approximate cost to replace technology lost by securities companies alone on Sept. 11...
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
Registered Rep. March 18, 2005 Will Leitch	Wachovia: On the Recruiting Warpath Wachovia Securities, the third-largest brokerage in the country, has announced an "aggressive" new strategy: the creation of the Individual Investor Group, entirely devoted to the recruitment and retention of individual brokers.
Bank Systems & Technology April 22, 2008 Katherine Burger	How Will Banks' IT Organizations Fare Amid Industrywide Job Cuts? A new report reveals that IT employment across all industries increased more than 12 percent compared to a year ago, with companies adding about 376,000 IT jobs.
The Motley Fool October 16, 2008 Alex Dumortier	Schwab Offers Nice Numbers, but Is It a Buy? Chuck shows them how it's done.
The Motley Fool May 31, 2005 Selena Maranjian	Think Twice About Chinese Brokerages America's brokerages offer more protection for investors.
The Motley Fool November 29, 2007 Rick Aristotle Munarriz	E*Trade Lives to Bite Another Day The online brokerage giant is selling its troublesome asset-based securities portfolio to Citadel Investment Group for $800 million; allowing the company to focus on its thriving retail brokerage business.
The Motley Fool April 30, 2009 Dan Caplinger	Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily.
The Motley Fool February 28, 2006 Selena Maranjian	Brokerages Misbehaving The SEC has gotten an earful about brokerages upsetting customers. Investors, the more you know about the stock market and how brokerages and brokers work, the better off you'll likely be.
Registered Rep. May 1, 2005 Richard Roth	The Worst is Over---Probably It's clear then that brokerage firms and retail brokers alike will be glad when the all-clear has sounded and Wall Street can stop looking over its shoulder and get back to work.
Registered Rep. March 12, 2003 Ross Tucker	The "Beginning of the End" for Traditional Retail Brokerage According to a report from Celent Communications, the effects of prolonged market difficulties and last year's Wall Street scandals are forcing a transformation of traditional retail brokerage firms.
Wall Street & Technology October 27, 2003	The Customer Isn't Always Right Although the Office of Foreign Assets Control's list of suspected terrorists and hostile nations has grown to over 3,500, and the Patriot Act mandates securities firms check new accounts against it, only 1,000 brokerages have watch-list-screening solutions.
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.
BusinessWeek June 28, 2004 Emily Thornton	Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars.
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.
Investment Advisor September 2009 Melanie Waddell	Suits Against Financial Firms Driving Litigation Activity In the first half of 2009 suits against financial services firms and foreign firms increased.
The Motley Fool October 25, 2007 Dan Caplinger	Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more.
Registered Rep. August 1, 2008	Correction The correction of a quote regarding information gathered from brokerage clients invested in auction-rate securities.
Wall Street & Technology September 21, 2004 Paul Allen	Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up.
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.
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. 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?
Bank Technology News January 2010 John Adams	IT Spending Forecast:Spring Thaw? A few bright spots aside, looking for big time increases in IT spending will be like wishing for a home run derby during the dead ball era-a case of hope outpacing reality, with spending in most business lines flat or seeing nominal growth for least another year.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
Registered Rep. November 8, 2011 Jerry Gleeson	Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal.
The Motley Fool September 17, 2004 Selena Maranjian	Brokerage Statement Bewilderment You don't have to be flummoxed by your financial statements.
Wall Street & Technology January 4, 2004	Nasdaq Market Share Predicted to Increase Celent Communications believes that Nasdaq will achieve 35 percent market share in 2005.
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.
The Motley Fool June 15, 2010	One Way to Profit From Higher Interest Rates The good news for brokers is that many have been adding new accounts throughout the recession, which means that once interest rates rise again, they could be bringing in even more interest income than before.
BusinessWeek May 20, 2010	Tricks of the Trade The evolution of men and machines in the stock market.
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.
Wall Street & Technology June 4, 2004	The Analysts' View What's next? Algorithmic trading or old, faithful STP? Industry analysts make their predictions.
Wall Street & Technology June 22, 2009 Melanie Rodier	The Urgency and High Price of New Cost Basis Reporting Law Even while many financial firms are unaware of new cost basis reporting requirements, the deadline for compliance is fast approaching -- and the cost to comply won't be cheap.
Wall Street & Technology April 11, 2008 Cory Levine	Direct Market Access to Continue Steady Growth Celent estimates that 15 percent to 18 percent of current U.S. equities flow goes through direct market access pipes, a number that is expected to increase to 20 percent by 2010.
Entrepreneur November 2007 Rosalind Resnick	Getting a Margin Loan Securing a margin loan can mean quick cash for startup, but it doesn't come without risk.
Wall Street & Technology August 22, 2006	Operational Risk Management Goes Global New research suggests that financial services firms across global regions will concentrate much of their spending over the next three years on operational risk management.
Financial Advisor June 2007 Sherri Scordo	Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc.