- RIA Supervision: Major Change or Status Quo? // Financial Planning;Apr2003, Vol. 33 Issue 4, p24
Presents a debate over whether to replace bureaucracies in charge of all financial services groups in the U.S. Different financial categories; Capabilities of the U.S. Securities and Exchange Commission (SEC); Consumers' attitude toward SEC.
- By the Way. . . // Treasury & Risk Management;Dec/Jan2003, Vol. 13 Issue 1, p12
Cites developments concerning the U.S. financial services industry as of December 2002. Inclusion of the nomination of William Donaldson to succeed Harvey Pitt as chairman of the U.S. Securities and Exchange Commission (SEC); Bankruptcy filing made by UAL Corp.
- Top CEOs Cite Financial Reform Uncertainties. Lonkevich, Dan // National Underwriter / Life & Health Financial Services;4/3/2000, Vol. 104 Issue 14, p50
Reports on the uncertainties of the financial services reform in the United States. Building relationships around a financial plan; Market performance expected.
- FIGs. // Investment Dealers' Digest;06/26/2000, Vol. 66 Issue 26, p34
Presents statistics of the financial transactions of financial service companies in the United States for the week of June 24, 2000. Value of merger and acquisition deals; Debt and equity transactions completed for the week.
- Circular Letters. // Financial Update;Jul-Sep2003, Vol. 16 Issue 3, p7
Presents several notifications and announcements related to finance and financial services in the United States as of July 2003.
- Search Overview. // Investment Management Weekly;4/5/2004, Vol. 17 Issue 14, p10
Presents an overview of the search activity regarding investments in the U.S. for the week that ended on March 31, 2004. Plan sponsor; Size; Mandate.
- Fed's rate cut moves market, but the direction was not up. // Indianapolis Business Journal;7/2/2001, Vol. 22 Issue 16, p36A
Comments on developments concerning finance in the United States as of July 2, 2001. Inclusion of the effect of the Federal Reserve's cutting of the discount rate on the Dow Jones Industrial Average; AG Edwards' upgrading of Vectren Corp. from 'accumulate' to 'buy'; New York Stock Exchange's...
- Financial markets. // Fedgazette;Apr92, Vol. 4 Issue 2, p26
Presents graphs illustrating trends in the financial services industry in the United States as of 1992. Money market rates; Bond rates; Lending rates; Savings rates; Stock prices; Exchange rates.
- Home Sweet House Brands. Korn, Donald Jay // Financial Planning;Jun2001, Vol. 31 Issue 6, p102
Deals with the recommendation of brokers-dealers in the United States financial services industry on the use of in-house financial products for their clients. Factors which affect the disdain in proprietary products by clients; Reasons for the recommendations of financial planners on the use of...