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87 results on '"Securities industry -- Records and correspondence"'

2. Lines of communication: as firms attempt to speed up the legal search and retrieval process, unified messaging offers a logical answer. Or does it?

Author

Wakem, Maria

Subjects
Instant messaging technology, Securities industry, Government regulation, Company business management, United States. Securities and Exchange Commission -- Standards, Instant messaging -- Usage, Securities industry -- Records and correspondence, Securities industry -- Laws, regulations and rules, Information storage and retrieval -- Management, Information storage and retrieval -- Methods
Abstract

YOUR FIRM is under investigation. The Securities and Exchange Commission has requested that you recover all e-mail communications from eight specific traders from August 2002 to August 2003. Although the […]

Published
2005

3. COMMISSION: Map out the way on trail

Subjects
Securities industry -- Records and correspondence, Securities industry -- Investor relations, Investment advisers -- Services, Clerical Medical -- Records and correspondence, Clerical Medical -- Investor relations
Abstract

With its decision to axe trail for many advisers Clerical Medical has certainly sent shockwaves through the market. It remains to be seen whether advisers send those shockwaves back. Clerical […]

Published
2008

4. Briefly Noted

Subjects
Eclipsys Corp. -- Location, North American Scientific Inc. -- Records and correspondence, North American Scientific Inc. -- Securities, NASDAQ Stock Market Inc. -- Services, NASDAQ Stock Market Inc. -- Records and correspondence, Securities industry -- Services, Securities industry -- Records and correspondence, Computer software industry -- Location, Uranium industry -- Records and correspondence, Uranium industry -- Securities, Stock-exchange -- Listings, Stock-exchange -- Evaluation, Securities industry, Company securities, Health, Healthcare Information and Management Systems Society -- Conferences, meetings and seminars
Abstract

Briefly Noted NAS receives Nasdaq letter North American Scientific (NAS; Chatsworth, California) said that it received a letter from the Nasdaq providing formal notice that the Nasdaq listing qualifications panel [...]

Published
2007

5. NYSE: Nasdaq's Exchange Plan Is Unfair

Author

Bresiger, Gregory

Subjects
NYSE Arca Holdings Inc. -- Mergers, acquisitions and divestments, New York Stock Exchange Inc. -- Records and correspondence, New York Stock Exchange Inc. -- Mergers, acquisitions and divestments, NASDAQ Stock Market Inc. -- Forecasts and trends, Securities industry -- Mergers, acquisitions and divestments, Securities industry -- Records and correspondence, Securities industry -- Forecasts and trends, Securities industry, Company acquisition/merger, Market trend/market analysis, Banking, finance and accounting industries, Business
Abstract

The New York Stock Exchange and merger partner Archipelago Holdings blasted a key aspect of Nasdaq's amended exchange application. Their opposition came as dozens of lawmakers urged the regulators to [...]

Published
2006

6. Free for all

Author

Sterlicchi, John

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Securities industry -- Laws, regulations and rules, Securities industry -- Records and correspondence, Financial disclosure -- Laws, regulations and rules, Financial services industry -- Laws, regulations and rules, Financial services industry -- Records and correspondence, Securities industry, Financial services industry, Government regulation, Banking, finance and accounting industries, Economics
Abstract

The SEC's comment letters on all the companies it asks to provide additional information have always been considered confidential, but now they are available freely to anyone interested in them. [...]

Published
2005

7. Cynically Optimistic: Smooth Sailing Is Not On Nick Michas's Agenda, But Market Gains Are

Subjects
Investors -- Behavior, Securities industry -- Records and correspondence, Securities industry, Banking, finance and accounting industries, Business
Abstract

While he labels himself, ironically, a 'cryptobear,' in recognition that some clients have never forgiven him for being right about the denouement of the Nasdaq bubble, Nicocles Leandros Michas is [...]

Published
2005

8. You've Got Mail! You Can Never Get Rid of it!

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Electronic mail systems -- Management, Electronic mail systems -- Laws, regulations and rules, Securities industry -- Records and correspondence, Securities industry -- Laws, regulations and rules, E-mail, Securities industry, Government regulation, Company business management, Banking, finance and accounting industries, Business
Abstract

There are myriad passages in the regulatory language of the Securities and Exchange Commission that those in the industry would love to wish away. And ranking high in the pantheon [...]

Published
2003

9. TALK SHOW

Subjects
Merrill Lynch & Company Inc. -- Records and correspondence, Securities industry -- Records and correspondence
Published
2002

10. Italy Ushers in New Year With Bond Tax Reform

Subjects
Italy -- Tax policy, Banking industry -- Records and correspondence, Securities industry -- Records and correspondence, Banking, finance and accounting industries, Business
Abstract

Italian tax authorities have rung in the new year with reform that aims to reduce the cumbersome paperwork that local custodian banks and their foreign investors must undergo to receive [...]

Published
2002

11. E-MAIL RETENTION GUIDANCE ON THE BACK BURNER

Subjects
United States. Securities and Exchange Commission -- Standards, Electronic mail systems -- Standards, Documentation -- Standards, Securities industry -- Records and correspondence, Banking, finance and accounting industries, Business
Abstract

The Securities and Exchange Commission has put off plans to give guidance on what firms need to retain in terms of e-mails. The move comes amid the industry backing away [...]

Published
1999

12. LITIGATION WILL DETERMINE E-MAIL REVIEW THRESHOLD

Subjects
Electronic mail systems -- Standards, Securities industry -- Records and correspondence, Banking, finance and accounting industries, Business
Abstract

Litigation or a settled enforcement action will be required before firms will know what percentage of e-mail sent by employees they need to review, according to Ken Spirer, first v.p. [...]

Published
1999

13. Firms zeroing in on tech shortfalls

Author

Ruppe, Patrick and Malyszko, Mark

Subjects
Securities industry -- Management, Securities industry -- Records and correspondence, Securities industry -- Technology application, Electronic records -- Management, Regulatory compliance, Securities industry, Company business management, Technology application, Banking, finance and accounting industries, Business
Abstract

Broker/dealers including JPMorgan Chase and UBS have stepped up their focus on tracking down glitches and other shortfalls in their technology systems. A lack of guidance from regulators and an [...]

Published
2006

14. Hedge fund Pirate to Outback: sell noncore chains or face proxy fight

Author

Lockyer, Sarah

Subjects
United States. Securities and Exchange Commission -- Records and correspondence, Restaurant industry -- Investor relations, Restaurant industry -- Company forecasts, Securities industry -- Investor relations, Securities industry -- Records and correspondence, Securities industry -- Beliefs, opinions and attitudes, Securities industry, Company business forecast/projection, Business, Food and beverage industries
Abstract

TAMPA, FLA. -- Casual-dining giant OSI Restaurant Partners is under renewed pressure to halt expansion of its Outback Steakhouse flagship and spin off noncore chains despite its assurances to a [...]

Published
2006

15. The domino effect: a more aggressive SEC has shaped the way Nasdaq stores and retrieves electronic documents

Author

Santos, Maria

Subjects
United States -- Science and technology policy, Securities industry, Company systems management, Company business management, Company financing, Company restructuring/company reorganization, Company organization, Nasdaq Stock Market Inc. -- Records and correspondence, Nasdaq Stock Market Inc. -- Information management, United States. Securities and Exchange Commission -- Subsidiaries, divisions and units, United States. Securities and Exchange Commission -- Reorganization and restructuring, United States. Securities and Exchange Commission -- Science and technology policy, United States. Securities and Exchange Commission -- Finance, Securities industry -- Records and correspondence, Securities industry -- Information management, Regulatory compliance -- Management
Abstract

THE SECURITIES and Exchange Commission is getting a makeover--and technology is playing a central role in the renovation. According to a recent report by Needham, Mass.-based research firm TowerGroup, the […]

Published
2005

16. SEC Denver office gives firms break on deficiency letters

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Securities industry -- Management, Securities industry -- Records and correspondence, Securities industry, Company business management, Banking, finance and accounting industries, Business
Abstract

Securities and Exchange Commission examiners at the agency's Central Regional Office in Denver are reportedly offering to withhold items from deficiency letters if firms can address how they will resolve [...]

Published
2005

17. No prospectus? NYSE blames brokerage firms

Author

Davis, Ann

Subjects
New York Stock Exchange Inc. -- Standards, New York Stock Exchange Inc. -- Officials and employees, New York Stock Exchange Inc. -- Investor relations, New York Stock Exchange Inc. -- Records and correspondence, Morgan Stanley -- Discipline, Investor relations -- Standards, Securities industry -- Standards, Securities industry -- Officials and employees, Securities industry -- Investor relations, Securities industry -- Discipline, Securities industry -- Records and correspondence, Disclosure (Securities law), Securities industry, Company business management, Banking, finance and accounting industries, Business, Business, international
Abstract

As part of its effort to avoid charges of being too lenient on member firms, the New York Stock Exchange is strengthening its requirements regarding investor relations standards. In a letter from the Exchange's enforcement chief Susan Merrill to securities industry chief executive officers, firms are being asked to admit to any financial deals they have sold that were not accompanied by the mailing of prospectuses to investors.

Published
2004

18. Prudential ignored warnings about brokers

Author

Maremont, Mark and Bandler, James

Subjects
United States. Securities and Exchange Commission -- Investigations, Massachusetts -- Investigations, Prudential Equity Group L.L.C. -- Investigations, Prudential Equity Group L.L.C. -- Ethical aspects, Prudential Equity Group L.L.C. -- Records and correspondence, Prudential Equity Group L.L.C. -- Cases, Mutual funds -- Marketing, Mutual funds -- Laws, regulations and rules, Mutual funds -- Investigations, Mutual fund industry -- Investigations, Mutual fund industry -- Ethical aspects, Mutual fund industry -- Records and correspondence, Securities dealers -- Investigations, Securities dealers -- Ethical aspects, Securities fraud -- Investigations, Securities industry -- Investigations, Securities industry -- Ethical aspects, Securities industry -- Records and correspondence, Company legal issue, Government regulation, Company marketing practices, Securities industry, Business, Business, general
Published
2003

19. NYSE to give specialist firms data in inquiry

Author

Kelly, Kate and Craig, Susanne

Subjects
New York Stock Exchange Inc. -- Investigations, New York Stock Exchange Inc. -- Records and correspondence, Market makers (Securities trading) -- Investigations, Stock-exchange -- Records and correspondence, Stock-exchange -- Investigations, Securities industry -- Records and correspondence, Securities industry -- Investigations, Company legal issue, Securities industry, Business, Business, general
Published
2003

20. To the press, NYSE's a tough market; reporters are watched as they get brief glimpses of Grasso pay documents

Author

Rose, Matthew

Subjects
New York Stock Exchange Inc. -- Media coverage, New York Stock Exchange Inc. -- Records and correspondence, New York Stock Exchange Inc. -- Compensation and benefits, Chief executive officers -- Compensation and benefits, Securities industry -- Media coverage, Securities industry -- Records and correspondence, Securities industry -- Compensation and benefits, Company legal issue, Securities industry, Business, Business, general
Published
2003

21. LaBranche proposes review of e-mails

Subjects
LaBranche and Co. -- Investigations, LaBranche and Co. -- Records and correspondence, New York Stock Exchange Inc. -- Investigations, Securities industry -- Investigations, Securities industry -- Records and correspondence, Company legal issue, Securities industry, Business, Business, general
Published
2003

22. LaBranche resists NYSE request; firm's refusal to turn over e-mails in trading probe could result in sanctions

Author

Kelly, Kate

Subjects
LaBranche & Company Inc. -- Investigations, LaBranche & Company Inc. -- Records and correspondence, LaBranche & Company Inc. -- Discipline, New York Stock Exchange Inc. -- Investigations, Securities industry -- Investigations, Securities industry -- Records and correspondence, Securities industry -- Discipline, Stock-exchange -- Investigations, Floor traders (Finance) -- Investigations, Securities industry, Company legal issue, Business, Business, general
Published
2003

23. Regulators seek data on Lehman's IPOs

Subjects
Lehman Brothers Holdings Inc. -- Investigations, Lehman Brothers Holdings Inc. -- Records and correspondence, Securities industry -- Investigations, Securities industry -- Records and correspondence, Going public (Securities) -- Investigations, Conflict of interests (Agency) -- Investigations, Securities industry, Company public offering, Company legal issue, Business, Business, general
Published
2003

24. Judge seeks details on Wall Street pact

Subjects
United States. Securities and Exchange Commission -- Cases, United States. Securities and Exchange Commission -- Records and correspondence, Compromise and settlement -- Cases, Research bias -- Cases, Securities industry -- Cases, Securities industry -- Records and correspondence, Securities industry, Company legal issue, Business, Business, general
Published
2003

25. 5 firms to pay for e-mail lapses

Author

White, Ben

Subjects
E-mail, Securities industry, Government regulation, Electronic mail systems -- Laws, regulations and rules, Securities industry -- Records and correspondence, Securities industry -- Discipline, Securities industry -- Laws, regulations and rules
Published
2002

26. Wall street has e-mail problems

Author

Smith, Randall

Subjects
United States. Securities and Exchange Commission -- Investigations, Citigroup Global Markets Inc. -- Records and correspondence, Electronic mail systems -- Records and correspondence, Securities industry -- Records and correspondence, Business, Business, general
Published
2002

27. Spitzer staff gathers Salomon e-mails criticizing Grubman

Author

Gasparino, Charles

Subjects
New York. Department of Law -- Investigations, Citigroup Global Markets Inc. -- Records and correspondence, Financial analysts -- Investigations, Securities industry -- Records and correspondence, Conflict of interests (Agency) -- Investigations, Securities law -- New York, Business, Business, general
Published
2002

28. Instant messages cause headaches on Wall Street

Author

Miles, Stephanie

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Electronic mail systems -- Records and correspondence, Securities industry -- Records and correspondence, Archives -- Laws, regulations and rules, Business, Business, general
Published
2002

29. Morgan must show its salary records to potential suers

Subjects
United States. Equal Employment Opportunity Commission -- Cases, Morgan Stanley Group Inc. -- Cases, Sex discrimination -- Cases, Securities industry -- Records and correspondence, Business, Business, general
Published
2002

30. Spitzer's 'big lie'

Author

McConnell, John J.

Subjects
Merrill Lynch & Company Inc. -- Investigations, Securities industry -- Records and correspondence, Conflict of interests (Agency) -- Investigations, Electronic mail systems -- Investigations, Attorneys general -- Practice, Business, Business, general
Published
2002

31. S&P to wade into pro-forma earnings mess

Author

Liesman, Steve and Weil, Jonathan

Subjects
Standard & Poor's Corp. -- Records and correspondence, Securities industry -- Records and correspondence, Corporate profits -- Reports, Business, Business, general
Published
2001

32. Singapore's DBS, Goldman discuss bid-battle papers

Subjects
The Goldman Sachs Group Inc. -- Records and correspondence, DBS Group Holdings Ltd. -- Records and correspondence, Securities industry -- Records and correspondence, Banking industry -- Records and correspondence, Business, Business, general
Published
2001

34. Volume in Juniper Group jumps more than 20-fold on fake letter

Author

Emshwiller, John R.

Subjects
Juniper Group Inc. -- Securities, Merrill Lynch & Company Inc. -- Records and correspondence -- 00305671, Health care industry -- Securities, Motion picture industry -- Securities, Securities industry -- Records and correspondence, Manipulation (Securities) -- Investigations, Business, Business, general
Published
1998

35. Warburg linked to disclosure violations

Author

Mulligan, Thomas S.

Subjects
S.G. Warburg Group PLC -- Records and correspondence -- 00146344, Securities industry -- Records and correspondence, Disclosure (Securities law) -- Analysis
Published
1997

37. Court rejects bid to keep O.C. bankruptcy testimony sealed

Author

Hua, Thao

Subjects
Orange County, California -- Cases, Merrill Lynch & Company Inc. -- Records and correspondence -- 00305671, Securities industry -- Records and correspondence, Municipal bankruptcy -- Records and correspondence
Published
1997

38. Merrill testimony in California case ordered released

Author

Pasztor, Andy

Subjects
Orange County, California -- Cases, Merrill Lynch & Company Inc. -- Records and correspondence -- 00305671, Securities industry -- Records and correspondence, Municipal bankruptcy -- Cases, Municipal bonds -- Cases, Business, Business, general
Published
1997

41. NASD error results in a purge of broker data

Author

Siconolfi, Michael

Subjects
United States. Securities and Exchange Commission -- Investigations, Securities industry -- Records and correspondence, Business, Business, general, National Association of Securities Dealers Inc. -- Records and correspondence
Published
1997

42. Local investment newsletters try to penetrate the clutter with perspective

Author

Kueny, Barbara

Subjects
Investment advisory newsletters -- Reports, Securities industry -- Records and correspondence, Business, Business, regional
Abstract

EVERYBODY AND THEIR BROker seems to be putting out a stock market/investment newsletter these days. And each letter is driven by a different vision of the universe. There are letters [...]

Published
1993

45. NASD will not require Morgan Stanley to certify research

Subjects
Credit Suisse Group AG -- Records and correspondence, Morgan Stanley -- Records and correspondence, Citigroup Inc. -- Records and correspondence, Securities industry -- Records and correspondence, Financial services industry -- Records and correspondence, Disclosure of information, Securities industry, Financial services industry, Company business management, Banking, finance and accounting industries, Business, National Association of Securities Dealers Inc. -- Management
Abstract

Unlike two other firms in an enforcement action charging numerous research rule violations, the NASD will not require Morgan Stanley to certify that research reports contain the right disclosures. The [...]

Published
2006

46. BofA action shows dangers of not supervising systems

Subjects
United States. Securities and Exchange Commission -- Discipline, Banc of America Investment Services Inc. -- Discipline, Banc of America Investment Services Inc. -- Records and correspondence, Regulatory compliance -- Discipline, Business records -- Discipline, Securities industry -- Discipline, Securities industry -- Records and correspondence, Securities industry, Banking, finance and accounting industries, Business
Abstract

The Securities and Exchange Commission's charges that Banc of America Investment Services failed to implement adequate procedures and fully use its software to preserve e-mail sends a warning on system [...]

Published
2005

47. Meridian

Subjects
Meridian Capital Corp. -- Records and correspondence, Securities industry -- Records and correspondence, Securities industry, Business, Real estate industry
Abstract

Meridian announced the following transactions: * A $1.5 million new mortgage for a five-story walk-up building on E. 184th St. in the Bronx. The loan featured a 5.25% rate and [...]

Published
2005

48. Meridian announced the following transactions

Subjects
Meridian Capital Corp. -- Records and correspondence, Securities industry -- Records and correspondence, Securities industry, Business, Real estate industry
Abstract

Meridian announced the following transactions: * A $96.3 million new mortgage for a 400,214 s/f condo building on Massachusetts Ave. NW in Washington, DC. The loan featured a 10-year term. [...]

Published
2005

49. Ingles Markets receives Nasdaq warning

Subjects
Ingles Markets Inc. -- Securities, Nasdaq Stock Market Inc. -- Records and correspondence, Nasdaq Stock Market Inc. -- Investigations, Supermarkets -- Securities, Securities industry -- Records and correspondence, Securities industry -- Investigations, Securities fraud -- Investigations, Securities industry, Company securities, Company legal issue, Business, Retail industry
Abstract

INGLES MARKETS RECEIVES NASDAQ WARNING: Ingles Markets Inc. has received a notice from the Nasdaq stock market indicating that the company is not in compliance with Nasdaq's requirements for the [...]

Published
2005

50. Drexel deal may help regulators; records could aid U.S. in recovering funds in collapse of S&Ls

Author

McCarthy, Robert J.

Subjects
Drexel Burnham Lambert Inc. -- Records and correspondence, United States. Resolution Trust Corp. -- Investigations, United States. Federal Deposit Insurance Corp. -- Investigations, Savings and Loan Crisis, 1987- -- Investigations, Bankruptcy -- Cases, Business records -- Cases, Securities industry -- Records and correspondence, Junk bonds -- Investigations
Published
1991

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