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Registered Rep.
August 9, 2007
John Churchill |
Campos Out at SEC Roel Campos, one of five SEC commissioners and one of the two Democrats, is stepping down, leaving for the private sector.   |
Investment Advisor
September 2007 |
Changes Commissioner Roel Campos of the SEC announced that he intends to leave the Commission... Keith Gregg has been named president and co-CEO of independent broker/dealer First Allied Securities... etc. |
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. |
Investment Advisor
November 2007 |
Changes Securities and Exchange Commissioner Annette Nazareth announces her intention to leave the Commission... Derek Bruton joins LPL Financial Services as CEO... CFP Board appoints Carol Lee Roberts to the position of managing director of Examinations and Education... etc. |
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. |
Insurance & Technology
April 5, 2010
Anthony O'Donnell |
MassMutual CIO Casale Made EVP The Springfield, Massachusetts-based carrier cites Casale's leadership in the implementation a streamlined, efficient organizational structure. |
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. |
Financial Planning
May 1, 2006
Lynn Hume |
Campos Mulls Law for Raters The SEC Commission member says it may be time to seek legislation that would give the SEC authority to regulate the nation's credit rating agencies. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
Investment Advisor
January 2009
Melanie Waddell |
Watch Out. Reform In on the Way As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms will actually be put into place. |
Wall Street & Technology
May 15, 2006
Cory Levine |
Goldman Exec Joins OptionsXpress Pat Schuler, the former Goldman Sachs vice president and global head of regional enterprise technology, has joined online options brokerage optionsXpress Holdings as CTO. |
Investment Advisor
February 2008
Melanie Waddell |
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. |
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.
October 20, 2004
Will Leitch |
Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors. |
Registered Rep.
April 27, 2011
Jerry Gleeson |
Competitive Threats Helped Spur Schwab-OptionsXpress Deal Online options brokerage optionsXpress had been looking for a merger partner for nearly three years before it accepted an offer from Charles Schwab Corp. |
BusinessWeek
December 3, 2007
Nanette Byrnes |
Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year. |
The Motley Fool
July 22, 2005
Tom Taulli |
optionsXpress Back on the Expressway The company only cares about trading options. In the last quarter, this was definitely a good position. In the quarter, the online broker's earnings increased 26% to $0.17 per share. The Street was expecting a mere $0.16 per share. |
BusinessWeek
November 29, 2004
Amy Borrus |
Rating Agencies Get A Credit Check The SEC and European regulators are debating new rules for the U.S.-led credit rating industry. The commission probably will ask Congress for authority to require rating agencies to open their books and records to the SEC. |
