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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. 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. September 16, 2004 Will Leitch	SIA Reports Big Drop in Second-Quarter Profits In its Research Report for the second quarter of 2004, the Securities Industry Association announced that profits for brokerage firms were 61.2 percent lower than in the second quarter of 2003.
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. July 24, 2006 John Churchill	Despite Increased Competition, Rep Comp Stays Strong The brokerage industry is an increasingly difficult job market to break into, and an even harder one to stay around in. But for those who succeed, it continues to provide a pretty nice living, according to the SIA's 2005 Production and Earnings Survey.
Registered Rep. October 1, 2004 Will Leitch	Concerns Abound for Industry Growth Profits for brokerage firms dropped 61.2 percent from the second quarter of 2003, from $7.7 billion to $2.98 billion. That's also a staggering 60.7 percent below the first quarter of 2004, which notched $7.6 billion.
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. 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. September 1, 2004 Will Leitch	For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.
Registered Rep. September 21, 2007 Halah Touryalai	Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers.
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.
Registered Rep. August 1, 2006 Kristen French	The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant.
Registered Rep. October 1, 2004 Will Leitch	Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004.
Investment Advisor June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.
Registered Rep. November 1, 2004 John Churchill	Shaky Third Quarter Gives Advisors Pause The last quarter hasn't been great for retail brokerages. Low trading activity and geopolitical uncertainty kept investors on the sidelines, and advisors are feeling the pinch.
Investment Advisor September 2008 Melanie Waddell	Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers.
Registered Rep. February 2, 2015 Diana Britton	Industry Will Lose 300 More B/Ds By 2016 Though the closure rate of FINRA-registered broker/dealers is slowing down, the number of firms is expected to decline from 4,154 at the end of last year to 3,800 by the end of 2016.
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 November 1, 2006 Marianne Czernin	Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements.
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.
Registered Rep. March 1, 2005 John Churchill	Earnings Forecast: Clouds Give Way to Sun The past year's earnings troubles belie the brokerage industry's sunny prospects for 2005. For advisors, the industry's recent troubles have translated into fewer jobs, but many firms are recruiting aggressively again.
Registered Rep. August 30, 2002 Betsy Riley	Reps' Earnings Suffered Double-Digit Loss in 2001 The SIA surveyed 34 member-firms, finding a drop in broker earnings and a move toward fee-based business models.
Registered Rep. June 23, 2011 Diana Britton	Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April.
The Motley Fool March 21, 2007 S.J. Caplan	Check Out Your Broker A redesigned website tells you what you need to know before you invest.
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.
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.
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.
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
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.
On Wall Street October 1, 2008 Donna Mitchell	Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words.
Financial Planning May 1, 2006 Marianne Czernin	Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps.
Investment Advisor September 2009	Broker/Dealers of the Year, Through the Years A list of the top Broker/Dealers of the Year, as chosen by Investment Advisor readers, from 1994-2009.
Registered Rep. August 17, 2011	Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.
Investment Advisor May 2009 James J. Green	Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management.
Registered Rep. June 9, 2010 Jerry Gleeson	For NYC Securities Workers, A Historically Bad Year For Pay If you worked as a financial advisor last year, you are well aware that securities industry compensation was one of the many victims of the financial collapse.
The Motley Fool October 16, 2008 Zoe Van Schyndel	The Risky Business of Securities Lending Is your mutual fund betting with your money?
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. January 1, 2003 David A. Geracioti	Goodbye to All That Business might get worse before it gets better. The retail investor has the feeling of being whipped like a dog.
Bank Technology News June 2003	By the Numbers Total IT spending in the American securities industry is set to decline for the second year in a row. That's not just a big story, it's a huge one.
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. March 4, 2009 David A. Geracioti	The Conflicts of Interest in Not Being a Fiduciary; Hang Charlie Merrill In Effigy? At least one commentator is calling for Charlie Merrill to be hung in effigy for creating the modern-day, hard-charging, sales-oriented brokerage called Merrill Lynch.
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. March 1, 2005 Janet Wynn	Paper Torture Why does today's securities industry, which uses some of the most sophisticated technology available, still issue and distribute equities the same way it did two centuries ago --- as pieces of paper?
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.
Investment Advisor May 2010 Melanie Waddell	Settlements On Rise The total value and number of securities class action settlements increased in 2009 to $3.8 billion.
Registered Rep. April 1, 2006 Kristen French	Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues.
Investment Advisor June 2007 Savita Iyer	Building Collaboration Reps of Securities America are thrilled with the company's new knowledge-sharing and peer support program, which makes use of the Internet so that reps can share their brain power with each other to enhance the business performance of their practices.
AskMen.com November 12, 2000 Luis Rodrigues	Trading Tips For Moneymakers Rules for overcoming greed to take profits when doing speculative trading.
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.