SIA likes `broker-dealer light,' range of other SEC innovations
- SIA Says Rule Changes Would Advance T+1. // On Wall Street;Apr2001, Vol. 11 Issue 4, p18
Covers the advantages of the amendments of securities laws on settlement cycles in the United States. Stance of the Securities Industry Association; Overview of the rule changes; Significance of the changes.
- Securities industry consensus getting harder to reach. Weiser, Irving // American Banker;11/19/1997, Vol. 162 Issue 223, p15
Examines the changing membership of the Securities Industry Association and its implications on the group's agenda. History of the organization; Percentage of the group's membership coming from unaffiliated securities firms; Number of standing committees by the group.
- SIA seeks flexibility. Williamson, Christine; Anand, Vineeta // Pensions & Investments;5/26/1997, Vol. 25 Issue 11, p25
Looks at the request by the Securities Industry Association (SIA) for measures which would make it easier for investors to move their money between load mutual funds distributed by brokers and no-load mutual funds offered directly by mutual fund companies. Information on a SIA survey.
- Chastened Street pledges clean up. Willis, Gerri // Crain's New York Business;1/3/94, Vol. 10 Issue 1, p1
Reports on the Securities Industry Association's pledge to address the problems of the industry. Key problems; Core of the problem; Biggest scandal; Statistics on brokers working at three firms during their career and brokers having switched firms more than once; Signing bonuses as one of the...
- Securities Industry Assn. creates lobbying panel for 3d-party marketers. Kapiloff, Howard // American Banker;5/19/1995, Vol. 160 Issue 96, p8
Reports on the Securities Industry Association's creation of a committee of executives from third-party marketing firms to help monitor proposed legislation and study related business trends. Comments by member executives about their representation on various proposed rules and legislation;...
- T+1 on Schedule, But Likely in a T+3 Environment. Sandman, John // Securities Industry News;04/23/2001, Vol. 13 Issue 17, p13
Details the preference of the Securities Industry Association for T+1 settlement in the United States. Strategy of implementation; Identification of building blocks forming the foundation for next-day settlement; Feasibiltiy of the settlement.
- T+1 Postponed to 2004. // On Wall Street;Sep2000, Vol. 10 Issue 9, p20
States that June 2004 is the scheduled date for the securities industry's conversion to next-day settlement. Information on T+1; Value of unsettled trades, according to the Securities Industry Association.
- A bridge builder to government opportunity. Siedsma, Andrea // San Diego Business Journal;03/17/97, Vol. 18 Issue 11, p1
Focuses on the National Security Industrial Association (NSIA) in the United States. How NSIA aids companies in the defense business; How companies are helped with procurement, procurement laws, legislative actions, and technological changes in government; Comments from Robin Felix, president...
- SIA's Radical Post-Trade Change. Bresiger, Gregory // Traders Magazine;Mar2002, Vol. 15 Issue 194, p14
Discusses a report of the Securities Industry Association (SIA) on trading systems. Comments from an SIA committee on changes in the system; Information on process trading; Findings of the report.