Company: Securities Industry Association

71 results found

Industry must stay focused on putting clients’ interests first, says SIA president

Most investors report satisfaction with quality of service

Calls proposal incomplete

  • By: IE Staff
  • October 4, 2004 October 4, 2004
  • 13:15

Firms tighten belts to control expenses

The Securities Industry Association has issued new research indicating that retail brokers’ commissions rose a bit in 2003, but remained well below their highs of 2000. Rep revenues also significantly lagged the market.In a separate report, the SIA found that cutting the maximum tax rate on dividends in the U.S. has spurred dividend growth. The […]

A couple of days after brokerage firm Morgan Stanley agreed to a US$54-million settlement over allegations of gender discrimination, the U.S. securities industry trade association is out touting its diversity initiatives. In testimony Thursday before the House Financial Services Committee, Securities Industry Association president Marc Lackritz outlined initiatives to increase the diversity of the securities […]

Pace has leveled off, SIA says

Forget plan to shorten settlement cycle

  • By: IE Staff
  • June 17, 2004 June 17, 2004
  • 15:19

Wall Street successfully simulates response to physical attacks

  • By: IE Staff
  • May 21, 2004 May 21, 2004
  • 09:15

The Securities Industry Association is lauding the NASD for initiating a Mutual-Fund Task Force and said it looks forward to working with the panel.Announce earlier this week, the task force is aimed at finding ways to make mutual fund costs and distribution arrangements more transparent.“The securities industry is committed to improving the clarity of information […]

  • By: IE Staff
  • May 14, 2004 May 14, 2004
  • 08:25