Securities firms that provide investment research incur the cost of employing analysts to produce that research.
There is no effective separation between research, investment banking and trading in securities firms.
Who are these parties: investment consultants, money managers, securities firms, actuaries, attorneys and others.
This federal scheme has not yet been used to bail out failed insurance and securities firms.
The SEC widens the inquiry into the practices of securities firms in the bubble years.
Only securities firms are allowed to sell investment trusts (mutual funds) over the counter.
The settlement also included a provision that securities firms erect a firewall separating analysts from investment-banking operations.
Securities firms argue that this need not matter as long as investors hold the bonds to maturity.
Banks and savings and loans lost millions when it was discovered that the government securities firms of E.
Thankfully today there is growing awareness that professional, registered money managers and securities firms often engage in wrongdoing.
There is a process where the securities firms are handcuffed from allowing their clients to sell right away.
It created from a dozen commercial and trust banks and many more securities firms the three megabank groups.
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Some traders at large banks and securities firms make more than chief executives, though traders' pay typically isn't disclosed.
If such disclosure were required, most securities firms would close their research operations.
Japanese securities firms claim that there is less risk in these issues than in purchasing, say, American Treasury bonds.
The foreign invasion comes at a bad time for Japanese securities firms, especially.
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While firms such as Fidelity and Vanguard are offering more advice, full-service securities firms are reaching out to more do-it-yourselfers.
Since then, securities firms have expanded the volume of entrusted assets an area previously dominated by trust companies they have under management.
As the largest independent regulator of securities firms in the United States, it has some very useful resources for investors.
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Banks and securities firms have been cutting thousands of jobs and doling out the lowest pay and bonuses in years.
The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States.
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The January 28 Nihon Keizai Shimbun lead story was the recent substantial increase in hiring by foreign securities firms in Tokyo.
Securities firms have cut 80, 000 jobs in two years, a 10% reduction.
Ms. White, a former federal prosecutor, has received attention because of her go-to status as a lawyer for banks and securities firms.
The ability to recruit a large new group of Western lenders (e.g. securities firms, pension funds, insurance companies, corporations and even individuals).
Her recent background includes advising large securities firms regulated by the SEC.
Such investors rely on pushy salesmen from Japanese securities firms, especially from the big four Nomura, Nikko, Daiwa and Yamaichi which lead-manage most bonds.
That is what a number of securities firms have been quietly doing.
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Mutual and pension funds are making direct equity investments, bypassing securities firms.
Reinstate the legal liability that was repealed in the 1990s for securities firms, accountants, lawyers and others who aid and abet corporate fraud.
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