| 单词 | securities firm |
| 例句 | Their partnership itself crosses cultural borders; WuDunn grew up on Manhattan’s Upper West Side and is now an investment adviser at a New York securities firm. Chronicling a Community, and a Country, in Economic Crisis 2020-01-10T05:00:00Z The space previously housed a small securities firm, lending it a certain authenticity in its Wall Street neighborhood. 2010-01-23T05:15:00Z After serving in the Army, he worked for Stone & Webster, an engineering and securities firm, in Manhattan. Thomas N. Armstrong III, Museum Chief Who Once Led the Whitney, Dies at 78 2011-06-22T08:11:58Z In a new survey conducted by the investment bank and institutional securities firm Piper Sandler Companies, the chicken-focused fast-food chain secured its number one spot as the favored restaurant for American teens. Chick-fil-A is still the favorite fast food chain of teens: Survey 2020-10-06T04:00:00Z The taboo is such that Nidec was not able to find a major securities firm to advise on its unsolicited bid, Nagamori said. Nidec's acquisitive CEO hails new Japan rules aimed at making takeovers easier 2023-07-23T04:00:00Z Hwang met with chief risk officers and investment banking executives from 10 securities firms, who shared the authorities' view on real estate-related risks and agreed to implement risk management measures, according to the statement. S.Korea financial watchdog gathers securities firms to manage real estate risks 2023-07-20T04:00:00Z "From the perspective of investors and securities firms, there's a growing feeling the BOJ could give up maintaining its current policy scheme." Japan's yield control faces biggest test to date as BOJ debates policy 2023-01-18T05:00:00Z China's securities regulator said it would fully check securities firms' financing needs after Huatai Securities Co Ltd , proposed a share placement plan that would be one of the biggest in China's brokerage industry. Lenders fail to sell Evergrande's Hong Kong headquarters by tender - sources 2023-01-03T05:00:00Z China's securities regulator said it would fully check securities firms' financing needs after Huatai Securities Co Ltd , proposed a share placement plan that would be one of the biggest in China's brokerage industry. China calls entry restrictions targetting its travellers unreasonable 2023-01-03T05:00:00Z Auto factories, securities firms and and some other companies in Shanghai kept operating under “closed loop” conditions after the city shut down in March following virus outbreaks. Workers walk out of iPhone factory, highlighting virus woes 2022-10-31T04:00:00Z Authorities will now step up monitoring of securities firms' exposure to real estate projects to prevent any liquidity risks and engage intensively with those of high vulnerability, the FSS said. S.Korea financial watchdog gathers securities firms to manage real estate risks 2023-07-20T04:00:00Z That included four insurers, two securities firms, two trust firms and a company involved in financial futures. China jails Canadian tycoon for 13 years for finance crimes 2022-08-19T04:00:00Z “Gold deliveries in Zimbabwe have significantly recovered because of the appetizing U.S. dollar payments offered to artisanal miners,” noted securities firm Morgan & Co in a market intelligence report. Zimbabwe debuts gold coins as legal tender to stem inflation 2022-07-25T04:00:00Z The government expresses resolve in maintaining lockdowns, now affecting 247 million people in 31 cities that collectively produce $4.3 trillion in annual economic activity, according to a recent estimate from Nomura, the Japanese securities firm. The World Economy Is Imperiled by a Force Hiding in Plain Sight 2022-07-16T04:00:00Z In seizing control of two securities firms and a futures company in 2020, China’s securities regulator accused the businesses of providing misleading information about their shareholders and controller. Five Years After Vanishing, Chinese Canadian Billionaire Faces Trial 2022-07-04T04:00:00Z The positions included a securities firm that touted his Olympic medals in an advertisement and a national financial services company. Inside Klete Keller’s fall from Olympic gold to the Capitol riot 2022-01-04T05:00:00Z “There is concern over the widening spread of the Omicron variant, which is overall making people cautious about taking stocks higher” in Japan, said a market participant at a Japanese securities firm. Asia stocks, oil struggle as Omicron worries weigh 2021-12-27T05:00:00Z Morgan Stanley is waiting for Chinese regulators to approve an increase in ownership of its Chinese securities firm to 90 percent. Wall St. Is Finally Getting Access to China. But for How Long? 2021-11-15T05:00:00Z Carlos Domingo, chief executive officer of digital-asset securities firm Securitize in Miami, said the technology is valuable, the market is interesting and it has huge potential. NFTs supplant Rolexes and Lambos as the new digital savvy ‘flex’ 2021-08-30T04:00:00Z The agency tightened its oversight of securities firms after the exposure of Madoff’s fraud — and the SEC’s failure to act despite multiple warnings — in 2008. Column: Bernie Madoff's Ponzi scheme forced tighter SEC oversight. Trump undid that. 2021-04-14T04:00:00Z Ant also partners with asset managers, including mutual funds, insurers, banks and securities firms in China to originate investments for Alipay users. Explainer: Ant juggernaut jackknifes on $37 billion road to market 2020-11-03T05:00:00Z The tax group’s analysis was particularly inspired by in a new memo from David Kostin, chief equity strategist for Goldman Sachs, a leading banking, investment management and securities firm. Biden worse for economy than the coronavirus 2020-06-11T04:00:00Z Early the next morning, Lehman Brothers, one of the nation’s most prominent securities firms, filed for bankruptcy. Campaigning in a Crisis: Obama, McCain and the 2008 Meltdown 2020-05-26T04:00:00Z The securities firm subsequently began a probe to examine whether some traders improperly valued transactions and concealed losses linked to those trades, leading to the suspension or ouster of some of them. U.S. core consumer price index rises in February 2020-03-11T04:00:00Z “In our view, the worst is yet to come,” securities firm Nomura said, warning of a severe, near-term blow to China’s economy. WHO to reconsider declaring global emergency as China virus evacuations begin 2020-01-29T05:00:00Z The deal contains detailed provisions governing treatment of banks, credit-rating agencies, electronic payment providers like Visa and Mastercard, insurers, and securities firms. Trump’s China deal was pitched as boon for working class, but he celebrated with Wall Street titans 2020-01-19T05:00:00Z Wedbush, 87, who had remained chairman of the securities firm’s parent company, died Sunday at his home in Rancho Santa Fe after a long illness that his family said left him debilitated. Edward Wedbush, co-founder of L.A. securities firm, dies at 87 2020-01-07T05:00:00Z Limits on foreign ownership of securities firms will be removed on Dec. 1, 2020. Citigroup plans to set up wholly-owned securities business in China: sources 2019-10-15T04:00:00Z That starts with futures traders Jan. 1 and extends to securities firms and mutual fund managers later in the year. Companies welcome US-China trade truce, warn disputes remain 2019-10-12T04:00:00Z Ownership limits will be ended for mutual fund companies on April 1 and for securities firm on Dec. 1, the China Securities Regulatory Commission said on its website. China announces timetable for opening finance industries 2019-10-11T04:00:00Z Despite her steady criticism of the industry, Warren raised $625,025 from donors who work in the investment and securities firms for her 2012 Senate campaign, according to data from the Center for Responsive Politics. Elizabeth Warren is winning grudging respect among some on Wall Street 2019-07-05T04:00:00Z In 2017, it raised the foreign ownership ceiling to 51 percent in securities firms, mutual fund houses, life insurers as well as futures brokerages and said all ownership restriction would be scrapped in three years. Larry Fink says BlackRock focused on onshore presence in China 2019-04-08T04:00:00Z Chinese officials also emphasized their willingness to allow foreign banks, securities firms, insurers and asset management companies to buy larger stakes in their Chinese competitors. China Pledges Openness in Hopes of Reaching a Trade Deal 2019-03-24T04:00:00Z Regulators lifted the cap on foreign stakes in securities firms, mutual fund companies and insurers, answering repeated U.S. demands. In pursuing a trade deal, the U.S. may be asking China to do the unthinkable 2019-02-14T05:00:00Z The funds to pay out in that case belong to Iran’s central bank and were frozen in the New York account of a Luxembourg-based securities firm in 2008. Washington Post journalist Jason Rezaian and family to testify in federal lawsuit against Iran 2019-01-07T05:00:00Z The company works with banks, securities firms and insurance companies. Exclusive: HNA held talks with Ant, others as it weighs options for... 2018-10-15T04:00:00Z A man cycles past in front of electronic stock board of a securities firm in Tokyo, Tuesday, Sept. 25, 2018. Asian stocks mixed on US-China trade worries 2018-09-25T04:00:00Z The 2003 industry settlement engineered by New York Attorney General Eliot Spitzer resulted in 10 large securities firms agreeing to pay $1.4 billion and to sever links between research and banking, among other steps. Biotech Analysts Receive Lucrative Paydays From Industry Boom 2018-08-29T04:00:00Z Once the resorts are up and running unsavoury perceptions around them will change, agrees Jay Defibaugh, a research analyst with CLSA, a securities firm. Japan finally gets casinos 2018-07-26T04:00:00Z Litigation over another $1.7 billion linked to the securities firm is pending before the high court. Washington Post journalist Jason Rezaian and family to testify in federal lawsuit against Iran 2019-01-07T05:00:00Z Chinese officials are also working to finalize rules by May - instead of the end of June - to allow foreign financial groups to take majority stakes in Chinese securities firms, the Financial Times said. U.S. seeks China trade moves on autos, financials, chips: source 2018-03-26T04:00:00Z But Beijing is also weighing concessions, including easing restrictions on foreign investments in securities firms and insurance companies, these people said. Facing U.S. Tariffs, China Plans Countermeasures 2018-03-21T04:00:00Z The Chinese government said on Friday that it would relax or remove a broad range of limits on foreign ownership of banks and securities firms. China Eases Limits on Foreign Stakes in Financial Firms 2017-11-10T05:00:00Z The settlement resolves a legal battle over the remnants of fortunes the sons amassed at their father’s bogus securities firm. Supreme Court to hear whistleblower case; BMW to expand South Carolina plant 2017-06-26T04:00:00Z Mr. Guo later used money from Abu Dhabi to finance a failed takeover of a Chinese securities firm, which resulted in the loss, Caixin reported. The Billionaire Gadfly in Exile Who Stared Down Beijing 2017-05-30T04:00:00Z Griffin's hedge fund and securities firm Citadel LLC, competes against big Wall Street banks in certain businesses. Citadel's Griffin says he fantasizes about bank breakups 2017-05-01T04:00:00Z "There are expectations that U.S. auto shares would perform better than their overseas counterparts, as Trump is putting pressure on Japanese and European automakers," an analyst at a Japanese securities firm said. Japan automaker shares feel heat ahead of Trump-Abe meeting 2017-02-10T05:00:00Z The current limit on foreign ownership is 25 percent for large, publicly traded securities firms and 49 percent for most other businesses in these categories. China Eases Limits on Foreign Stakes in Financial Firms 2017-11-10T05:00:00Z “We expect increased volatility” in Amazon shares around the earnings, analysts with Oppenheimer, a securities firm, wrote in a note. Amazon expected to yield higher revenue, thinner margins in holiday quarter 2017-01-29T05:00:00Z They feared if they were honest they could go the same way as Bear Stearns, the 85-year-old New York securities firm that had collapsed the previous month. Libor scandal: the bankers who fixed the world’s most important number | Liam Vaughan and Gavin Finch 2017-01-18T05:00:00Z Carl Icahn, a veteran of Wall Street who founded his own securities firm, will serve as an outside advisor, Trump said. Trump names UC Irvine professor and fierce China critic to new White House Trade Council 2016-12-21T05:00:00Z Top executives of China’s biggest state-owned securities firm also were arrested in a separate case. Court: Star Chinese investor pleads guilty in stock case 2016-12-06T05:00:00Z A woman walks by an electronic stock board of a securities firm in Tokyo, Friday, Oct. Asia shares drift lower as investors factor in Fed rate hike 2016-10-21T04:00:00Z The securities firm lowered its operating income expectations for Amazon in 2017 by 16 percent. Amazon expected to yield higher revenue, thinner margins in holiday quarter 2017-01-29T05:00:00Z After leaving office as secretary of state in 2013, Clinton embarked on a career speaking to banks, securities firms and other financial institutions. WikiLeaks releases what appear to be Clinton's paid Wall Street speeches 2016-10-07T04:00:00Z Men walk past an electronic stock indicator of a securities firm in Tokyo, Monday, Oct. Asian stocks mostly higher, China and Korea markets closed 2016-10-03T04:00:00Z Women walk past an electronic stock indicator of a securities firm in Tokyo, Wednesday, Sept. 28, 2016. Global stocks have mixed performance after Wall Street gains 2016-09-28T04:00:00Z Starr, that buried within its operations is control of a securities firm, and that he remains sprightly. Final claims 2016-09-15T04:00:00Z People walk by an electronic stock board of a securities firm in Tokyo, Monday, Sept. 12, 2016. Asian stocks sink after Wall St tumbles on Fed rate jitters 2016-09-12T04:00:00Z People walk by an electronic stock board of a securities firm in Tokyo, Friday, Sept. 9, 2016. Asian stocks mixed after European Central Bank stays pat 2016-09-09T04:00:00Z "Because it's just one year, lots of people are choosing to wait for the iPhone 8," said Wang Bo, a finance worker in his thirties at a securities firm in Shanghai. China's online chatter muted ahead of Apple iPhone 7 launch 2016-09-06T04:00:00Z A man walks by an electronic stock board of a securities firm in Tokyo, Friday, Sept. 2, 2016. Asian stock markets muted ahead of key US job report 2016-09-02T04:00:00Z A man cycles past by an electronic stock board of a securities firm in Tokyo, Friday, Aug. 19, 2016. Asian stocks lackluster as investors turn focus to Yellen 2016-08-19T04:00:00Z People walk by an electronic stock board of a securities firm in Tokyo, Monday, Aug. 8, 2016. Asian stocks rise on strong US jobs data 2016-08-07T04:00:00Z A man looks at an electronic stock board of a securities firm in Tokyo Friday, Aug. 5, 2016. US stocks jump as strong jobs report calms investors 2016-08-05T04:00:00Z Pieter Franken, a Dutch expatriate and chief technology officer for a large securities firm, looks over some materials for the group’s upcoming kids’ workshop. Citizen science takes on Japan's nuclear establishment 2016-07-27T04:00:00Z In his administration, Mr. Clinton would work with Republicans to pass welfare reform and repeal the Glass-Steagall provisions forbidding affiliations between banks and securities firms. Mrs. Clinton v. Mr. Clinton 2016-07-25T04:00:00Z People walk past an electronic stock indicator of a securities firm in Tokyo, Thursday, July 21, 2016. Stocks up on hope of UK stimulus, eurozone Brexit resilience 2016-07-22T04:00:00Z People are reflected on the electronic board of a securities firm in Tokyo, Monday, July 4, 2016. Asian shares mixed, investors wait after US shut for holiday 2016-07-05T04:00:00Z People walk past an electronic stock indicator of a securities firm in Tokyo, Monday, June 20, 2016. Markets Right Now: Stocks surge as banks make big gains 2016-06-20T04:00:00Z A woman uses a mobile phone in front of an electronic stock indicator of a securities firm in Tokyo, Monday, June 20, 2016. Asian stocks leap as fears ease over British vote on EU 2016-06-20T04:00:00Z A man speaks on a smartphone in front of the electronic stock indicator of a securities firm in Tokyo, Thursday, June 9, 2016. Asian stocks slip as investors await China data, Fed meeting 2016-06-10T04:00:00Z A man walks by an electronic stock board of a securities firm in Tokyo, Monday, June 6, 2016. Asian shares fall as Fed rate hike seen as less likely 2016-06-06T04:00:00Z A woman walks by an electronic stock board of a securities firm in Tokyo, Friday, June 3, 2016. Asian shares higher pending US jobs report, Fed decision 2016-06-03T04:00:00Z People look at their cell phone in front of an electronic stock board of a securities firm in Tokyo, Monday, May 30, 2016. Asian stocks rise after Wall Street gains 2016-05-29T04:00:00Z People walk by an electronic stock board of a securities firm in Tokyo, Monday, May 23, 2016. Asian stocks rise after G7 meet; Tokyo falls on weak trade 2016-05-23T04:00:00Z A man watches an electronic stock board at a securities firm in Tokyo, Wednesday, May 18, 2016. Asian shares fell Wednesday amid concerns that higher-than-expected U.S. inflation could trigger rate hikes 2016-05-18T04:00:00Z A man on a bicycle looks at an electronic stock board of a securities firm in Tokyo, Monday, May 16, 2016. Asian shares were mostly higher Tuesday, as a jump in oil prices, a weaker yen and optimism on Wall Street helped to offset worries over China's growth 2016-05-17T04:00:00Z Another possible weakness you raised recently is that the Fed remains constrained in its ability to lend to securities firms. A Fast Talk With New York’s Fed Chief, and a View of a Steady Economy 2016-05-09T04:00:00Z A man looks at an electronic stock indicator of a securities firm in Tokyo, Monday, May 2, 2016. European stocks are pushing higher in low trading volumes due to a bank holiday in some countries 2016-05-02T04:00:00Z A woman walks past an electronic stock indicator of a securities firm in Tokyo, Thursday, April 28, 2016. Japanese stocks tumbled and the yen rose Thursday after the central bank dashed investors' hopes for more stimulus while other Asian benchmarks were mixed after the Fed left interest rates unchanged 2016-04-28T04:00:00Z The Shenzhen-based midsize brokerage is the second securities firm in less than a week and third in less than a month to announce a resumption. Beijing Quietly Signals Growing Market Confidence 2016-03-24T04:00:00Z The law automatically puts several large banks and securities firms into this category of enhanced supervision by the Financial Stability Oversight Council. Barney Frank: Sanders’s ‘too big to fail’ mantra ignores a huge problem 2016-03-17T04:00:00Z The ability to lend to large systemically important securities firms was a problem before and during the crisis as well. A Fast Talk With New York’s Fed Chief, and a View of a Steady Economy 2016-05-09T04:00:00Z He paid a $100,000 civil penalty and was barred from serving as chief executive of a securities firm. John Gutfreund, ‘King of Wall Street’ who helped transform Salomon Brothers, dies at 86 2016-03-09T05:00:00Z And unlike latter-day peers, he was sent packing without a golden handshake and with a ban from running a securities firm without previous approval from regulators. Gutfreund Shook Up Wall St., Laying the Groundwork for Disaster 2016-03-10T05:00:00Z Behind the scenes, Chinese regulators called on securities firms and big companies to support the market, some brokers say privately. Beijing Quietly Signals Growing Market Confidence 2016-03-24T04:00:00Z In settling government charges against him, he agreed to never again run a securities firm and to pay a $100,000 fine. John Gutfreund, Who Ran Salomon Brothers at Its Apex, Is Dead at 86 2016-03-09T05:00:00Z The founder of Citadel, a hedge fund and securities firm, Mr. Griffin in recent years has bought and sold several big-ticket properties. Kenneth Griffin Puts Two Faena House Condos on the Market for $73 Million 2016-01-27T05:00:00Z Investigators say Lawrence since 2008 worked for several securities firms and lost significant amounts of money. Ex-Dallas securities broker gets 3 years in prison for fraud 2016-01-21T05:00:00Z Within three years, problems hit several securities firms as junk bond bets soured. Gutfreund Shook Up Wall St., Laying the Groundwork for Disaster 2016-03-10T05:00:00Z Echoing a widespread sentiment in China’s investment community, he said China’s leaders appear willing to “sacrifice the largest securities firm in China to get the greatest value for their scapegoating efforts.” How China’s Stock Crash Put Its Biggest Broker in Beijing’s Cross Hairs 2016-01-18T05:00:00Z He settled potential charges of fraud by paying a fine and agreeing never to manage another securities firm. John Gutfreund, Who Ran Salomon Brothers at Its Apex, Is Dead at 86 2016-03-09T05:00:00Z Before the financial crisis, the largest securities firms held about half of all retail client assets, according to research firm Cerulli Associates. Brokerages Brace for a Wave of Departures 2016-01-07T05:00:00Z Also in December, two investment bankers from the securities firm Citic were detained without explanation from the authorities. China Telecom boss Chang Xiaobing quits amid corruption crackdown 2015-12-31T05:00:00Z That’s largely because securities firms, unlike the banks they eventually became, were smaller, less complex and less interconnected than their contemporary incarnations. Gutfreund Shook Up Wall St., Laying the Groundwork for Disaster 2016-03-10T05:00:00Z She started her own hedge fund after rising through the ranks at securities firm Bear Stearns & Co. A Bold Few Traders Earn Billions Flouting Rivals 2015-12-29T05:00:00Z The firm also has a joint venture with a domestic securities firm. Deutsche Bank to Sell Stake in Chinese Bank 2015-12-28T05:00:00Z People working at domestic securities firms report an ugly mood after news in the past week of increased scrutiny of the sector by authorities. Foreigners drawn in as fear and loathing grip China's finance industry 2015-12-04T05:00:00Z Merrill and other major securities firms have been fighting to retain assets and advisers. Some Merrill Brokers Could See Cut in Base Pay 2015-12-02T05:00:00Z Three of China’s biggest securities firms are under investigation in a fresh aftershock from this summer’s market plunge. Regulators probe 3 Chinese securities firms 2015-11-27T05:00:00Z Other big deals slated for next year include a Chinese state bank and a securities firm. China P2P Lender Lufax Plans IPO Worth Up to $5 Billion 2015-11-26T05:00:00Z Since 2000, Hillary Clinton has raised $29.2 million from the PACs and employees of banks, hedge funds, securities firms and insurance companies, according to The Post analysis. 41 years. $3 billion. Inside the Clinton donor network. Shadow banking exploded over the past five years as banks dealt variously with insurance companies, asset-managers and securities firms to exploit loopholes. Takeover bid 2015-11-19T05:00:00Z Commercial banks are competing with higher-yielding investments from China’s shadow-banking industry, a broad term for a range of loosely regulated lenders including trust companies, credit guarantors and securities firms. Chinese Banks Look to Shadow Banking for Growth 2015-10-30T04:00:00Z Earlier this year, it issued a proposal that would require securities firms to send Finra-generated materials to the clients of brokers they recruit. When Financial Advisers Move, Should Clients Follow? 2015-10-09T04:00:00Z Those ownership stakes are very different from the shares many held in big securities firms that previously employed them. Brokers Answer the Entrepreneurial Call 2015-10-07T04:00:00Z Between quarterly results, company executives often make presentations to investors at conferences sponsored by securities firms and have one-on-one meetings with large investors on the side. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z The police ministry announced July 12 it suspected securities firms of "illegally manipulating securities and futures exchanges." Chinese anti-graft agency says deputy head of stock market regulator under investigation 2015-09-17T04:00:00Z The company financed its business, including its purchase of mortgage-backed securities, through a series of repurchase, or repo, agreements and swaps deals with banks and securities firms like RBC. Judge Rules for Thornburg Mortgage in Suit Against RBC 2015-08-28T04:00:00Z In Shenzhen, that meant securities firms popping up across the city like chain restaurants. As Shanghai plunges again, another stock market shows where China’s torment starts 2015-08-21T04:00:00Z A companion civil case filed by the SEC included a wider network of defendants including hackers, traders and small securities firms in places such as Moscow, Paris, Cyprus and Malta. Global fraud involved computer hacking, insider trading, officials say 2015-08-11T04:00:00Z Access usually is controlled by brokers and analysts at Wall Street securities firms, who lean on their relationships with companies to secure meetings with top executives. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z The Shanghai Composite Index is displayed on an electronic stock board outside a securities firm in Tokyo, Japan, on Tuesday, July 28, 2015. What Ford Can Teach Chinese Companies About Managing Their "New Normal" 2015-07-28T04:00:00Z The amount of margin financing through securities firms was 2% lower Monday than Friday, though still 2% higher than a week earlier. Behind China Market’s Latest Collapse: a Government Retreat 2015-07-28T04:00:00Z The if-you-build-it-they-will-come idea was to create a magnet for banks, securities firms and information-technology companies akin to Canary Wharf in London or La Defense outside Paris. In India, a GIFT Waiting to Be Opened 2015-07-28T04:00:00Z Other winners include securities firms, which received a flood of money from trading fees and interest on loans to buy shares. Q&A: What the tumble in Chinese stock prices means for No. 2 economy, rest of world 2015-07-28T04:00:00Z Invitations are doled out to money managers, hedge funds and other investors who steer trading business to the securities firms, which in turn provide the investors with a service called “corporate access.” How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z China Securities Finance is the only institution that provides margin financing loan services to Chinese securities firms, and is seen as an important conduit for the government to counter stock market volatility. China banks lend $209 billion to margin lender to lift stock prices: media 2015-07-17T04:00:00Z The Financial Industry Regulatory Authority, which oversees securities firms, and the SEC declined to comment on Micron’s options activity. Micron attracted large options bets ahead of deal news 2015-07-14T04:00:00Z On Wednesday, the securities regulator said the company is extending 260 billion yuan in credit from the central bank to 21 big securities firms to buy stocks. Chinese Government Struggles in Attempt to Stem Distress in Stock Market 2015-07-08T04:00:00Z Earlier in the weekend, China’s big state-controlled securities firms, mutual funds and a unit of China’s giant sovereign-wealth fund also pledged to buy shares. China Shares Rise After Beijing’s Weekend Rescue 2015-07-06T04:00:00Z The figure represents commissions allocated by investors for corporate access when they steer trades to securities firms. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z With offices in London and San Francisco, Index was founded in Geneva and is the technology arm of a larger Swiss securities firm. 10 European VCs You Want To Raise Funding From 2015-05-21T04:00:00Z He did, however, have a neighbor, Annette Bongiorno, who worked for Madoff, who at the time was running a small wholesale securities firm specializing in trading over-the-counter stocks for institutional customers. Bernie Madoff’s Essential Man 2015-05-15T04:00:00Z With the insurer and the securities firm as the foundation, he’s built a financial powerhouse–the Meritz Financial Group Meritz Financial Group. Feeling Shortchanged, Meritz's Cho Jung-Ho Builds His Own Empire 2015-04-29T04:00:00Z A man smiles in front of an electronic stock indicator of a securities firm in Tokyo, Wednesday, April 22, 2015. Five Reasons Japan's Stock Market Should Stay Red Hot: Credit Suisse 2015-04-23T04:00:00Z Companies and securities firms lobbied successfully to preserve the right to hold private meetings with investors. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z I joined Greenwich Capital Markets, a leading financial securities firm, as a software engineer and built fixed income derivative trading systems. Bloomberg's Former Head Of Mobile Oke Okaro On How Smartphones Will Fuel Innovation In Africa 2015-04-10T04:00:00Z And we maintain a high degree of local autonomy as leading regional securities firms have combined over the years to become one of the most respected full-service investment firms in the United States. John Taft: Wall Street Can Be A Force For Good 2015-03-30T04:00:00Z More important, according to bankers at Wall Street securities firms that cater to the industry, 2014 was a strong year in terms of new money flowing into hedge funds. Hedge Funds Recorded Strong Recovery in 2014 2015-03-10T04:00:00Z Two securities firms downgraded Verizon’s ratings, while two others lowered their price targets for the stock. Here's Why You'll Pay Less for Your Wireless Plan Next Year 2014-12-16T05:00:00Z A few years ago, the SEC sought information from multiple securities firms about meetings they set up between companies and investors, according to people familiar with the matter. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z The Wall Street securities firm lost $93 million in its fiscal fourth quarter as revenue slumped by 43 percent. Bad Quarter, and Bad Year, for Jefferies 2014-12-16T05:00:00Z Financial Industry Regulatory Authority is an independent regulatory body authorized by Congress to write and enforce rules applied to securities firms and brokers. Vet Your Financial Advisor in 3 Easy Steps 2014-10-30T04:00:00Z Of the 29 equity analysts from major Wall Street securities firms, 11 rank JPM as a strong buy, 15 a buy, 2 a hold, and one underperform. 3 Stocks To Buy And Profit From Next Cycle Of Market Volatility 2014-10-20T04:00:00Z By the mid-1990s, he was running the Nasdaq desk at his father’s securities firm. Andrew H. Madoff, son of convicted financier, dies at 48 Most of these contracts also require disputes to be handled by the dispute resolution division of the Financial Industry Regulatory Authority, the independent regulator for all securities firms in the U.S. What Your Financial Advisor’s Mandatory Arbitration Clause Means for You 2014-08-28T04:00:00Z This was far more than securities firms earned from trading or securities underwriting, or any other source of revenue. The Fastest Growing Part Of Finance Is Investing Other People's Money 2014-07-11T04:00:00Z Thad Mercer, director of trading at a securities firm, came away a believer in Mr. Paul’s presidential prospects. Paul Has Ideas, but His Backers Want 2016 Plan 2014-03-22T22:34:37Z Japan is drawing up a plan to regulate Bitcoins, officials said Wednesday, including clauses the Nikkei business daily said would tax Bitcoin transactions and ban banks and securities firms from handling the digital currency. DealBook: Japan Said to Be Ready to Impose Bitcoin Rules 2014-03-05T09:40:53Z The Nikkei Business Daily reported on Wednesday that the government would tax Bitcoin transactions and ban banks and securities firms from handling the digital currency. Hacker attack closes Bitcoin bank 2014-03-05T09:16:34Z New York’s current tax structure was established far before the enactment of the federal Gramm-Leach-Bliley Act in 1999, which eliminated the separation between banks and securities firms. Cuomo’s Tax Overhaul Plan Distresses Some Who See a Windfall for Banks 2014-02-10T00:42:22Z For all the gains however, the market is small with the market capitalization of the companies listed in Karachi at around $52 billion, according to securities firm Foundation Securities research. Investors Brave Pakistan Market 2014-01-06T01:43:53Z A third -- Zurich-based private bank and securities firm Vontobel Holding AG -- said it would also participate, but declared itself free of hidden U.S. client funds. UPDATE 3-Swiss bank Valiant first to agree to US tax deal, more to follow 2013-12-10T14:18:10Z The group representing U.S. securities firms said the system of data feeds that distribute U.S. stock prices is “outdated” and needs improved oversight, transparency and backups. Group urges overhaul of stock data system; Swiss near decision on customer secrecy 2013-12-05T23:54:59Z In a prospectus, the New York securities firm invited customers to put their money into a little-known area of alternative investing called “managed futures.” ‘Managed futures’ fees wipe out investor gains 2013-11-08T14:49:42Z “A lot of the Caribbean countries are stuck in a classic debt trap,” says Carl Ross of Oppenheimer, a securities firm. The Caribbean debt crisis: God v bondholders 2013-11-07T16:05:15Z Businesses in Taiwan like banks, travel agents, hospitals, and securities firms, among others, will be able to provide more services across a wider area of China. Fears over Taiwan and China deal 2013-10-28T00:06:41Z The sub-custody factory is based in Bogota with a local backup facility and another backup data center in Portugal which is used by the securities firm globally. BNP Enters Columbia Market For Sub-Custody, Challenges Citi 2013-10-03T13:19:00Z Created by Congress in 2011, the Consumer Financial Protection Bureau looks into consumer protections involving banks, credit unions, securities firms, debt collectors and others. Citing abuses, federal lawmakers call for examination of tax-lien programs nationwide 2013-09-19T23:02:09Z China's financial sector liberalization offers included a pledge that locally-incorporated foreign banks and securities firms will be allowed to directly trade government bond futures and sell them to foreign and domestic institutional investors. China agrees to currency, procurement reforms in talks with U.S 2013-07-12T15:51:40Z Protecting customer assets is a near-sacred obligation at any securities firm, as Ms. O’Brien well knew, and it is a “cornerstone” of customer protection laws, as the trading commission puts it. Common Sense: Moral Quandaries at MF Global 2013-07-05T15:56:34Z Woori Investment & Securities, one of South Korea's largest securities firms, cut its outlook for Samsung's earnings and target share price on June 5. Samsung analysts ask hard questions as S4 marketing charm wears off 2013-06-16T21:06:09Z It accounted for 17 percent of all trading volume in -listed stocks, and about 16 percent in Nasdaq listings among securities firms. How the Robots Lost: High-Frequency Trading's Rise and Fall 2013-06-06T09:54:07Z World stock markets tumble as unemployment hits all-time high in EU Topics: , World Stock Markets, , , , , People look at an electronic stock board of a securities firm in Tokyo, Thursday, May 30, 2013. World stock markets tumble as unemployment hits all-time high in EU 2013-05-31T11:54:00Z One of the challenges facing Chinese securities firms competing in overseas markets is their domestic corporate culture and lack of connections with prominent local business executives. China's CITIC Securities taps Goldman model to hedge on global future 2013-03-26T20:59:56Z Morgan Chase slipped after the bank reached a settlement valued at $546 million with customers of collapsed securities firm MF Global Holdings . Dow Sets Intraday Record 2013-03-20T15:23:50Z Her recent background includes advising large securities firms regulated by the SEC. Both Sides of SEC Nominee Face Heat 2013-03-12T03:03:39Z Upending a closely watched ritual in place since 1996, the New York securities firm told employees Thursday it now plans to promote a new crop of managing directors every two years, instead of each year. Goldman Symbol Gets More Elusive 2013-03-08T11:22:28Z Mr. Lhota dialed up the major securities firms that underwrote city bonds and discouraged them from buying seats at the group’s annual fund-raiser. Gotham: Joseph Lhota’s Mayoral Chances Ruffle N.Y. Democrats 2012-12-25T01:57:39Z Hit by a languishing Chinese stock market and a freeze in initial public offerings since last year, mainland securities firms are diversifying away from their traditional businesses of stock broking and underwriting. China's CITIC Securities taps Goldman model to hedge on global future 2013-03-26T20:59:56Z A brief letter to him didn't go into much detail, but Morgan Stanley officials have said Mr. Jennings breached the securities firm's 22-page code of conduct, according to people familiar with the matter. A Banker's Costly Cab Ride 2012-12-19T05:06:47Z It would stand to reason that under this cloud of suspicion lenders and securities firms would have backed away from Libor by now. The Libor conundrum: How the world throws out the rate used around the world 2012-12-13T01:12:21Z Knight Capital Group climbed after The Wall Street Journal reported late on Friday that the securities firm is weighing the sale of its profitable market-making business. Retail Stocks Struggle 2012-11-26T16:05:52Z SHANGHAI—China cut the capital-reserve requirement for securities firms and expanded the range of financial products they may invest in, as the government works to boost the sector amid a sluggish domestic stock market. China Relaxes Rules for Securities Firms 2012-11-19T10:38:45Z Chinese securities firms are also venturing into Western markets to compete with global names. China's CITIC Securities taps Goldman model to hedge on global future 2013-03-26T20:59:56Z Like many other banks and securities firms, Goldman is cutting costs and shedding employees. Goldman Pares Back Partner Picks 2012-11-13T02:21:38Z In the wake of the crisis, banks and securities firms typically replaced cash bonuses with restricted-stock awards that vest after several years. Goldman Partners Pocket $22 Million 2012-11-07T00:54:32Z Lawyers representing customers of MF Global Holdings Ltd. added accounting firm PricewaterhouseCoopers LLP to a civil lawsuit against former executives of the failed securities firm, saying PwC failed to adequately audit MF Global's internal controls. MF Global Suit Adds PwC 2012-11-06T01:01:12Z The trade group represents securities firms, banks and asset managers. NYSE Closes Stock Exchange Floor 2012-10-28T22:03:36Z Ms. Febles is hardly the first executive assistant accused of fleecing a corporate boss, a crime that investigations and securities firms say happens with some frequency. DealBook: Citigroup Secretary Accused of Embezzling From Boss 2012-10-19T23:23:55Z Vincent Esposito was suspended from associating with a securities firm in any capacity for 90 days, suspended from associating with a securities firm in a principal capacity for two years and fined $15,000. Barred Wall Streeter Returns As Public Customer And Jams Up Compliance Officer 2012-10-09T16:45:58Z He said the stock sales also raise questions about the effectiveness of changes at Goldman and other securities firms to tie compensation more closely to overall performance and curb excessive risk-taking. Goldman Partners Pocket $22 Million 2012-11-07T00:54:32Z In addition, securities lawyers who represent Facebook investors say they expect hundreds of arbitration claims to be launched against brokers and securities firms that pitched the company's shares. Facebook's Next Fight: Suits, and More Suits 2012-09-26T01:39:59Z He asked another securities firm to buy stock in the insurer to shore up the price. The Lonely Redemption of Sandy Lewis, Wall Street Provocateur 2012-09-15T15:33:41Z As one of the largest securities firms in the U.S. clings to a pricey lifeline from rivals, it is tempting to lump Knight's plight with other recent debacles, from the collapse ... Lessons from Knight Capital's Trading Fiasco 2012-08-06T17:42:40Z Penson, a troubled securities firm, was seeking to sell off assets to raise capital. DealBook: Knight Said to Hold Talks to Sell Futures Brokerage Unit 2012-08-03T17:30:34Z While the payouts aren't huge by Wall Street standards, they are a sign of Goldman's staying power since it went public, ending the last major partnership among U.S. securities firms. Goldman Partners Pocket $22 Million 2012-11-07T00:54:32Z The New York company operates an electronic trading platform used by hundreds of corporate-bond investors and securities firms. MarketAxess Seeks to Encourage Direct Bond Trading 2012-07-23T23:09:23Z The New York securities firm, known for its aggressive trading and big corporate deal-making, is ramping up its activities to become a private bank to serve wealthy customers around the world. Goldman Builds Private Bank 2012-07-17T11:59:09Z Credit Suisse, for example, identified banks, hedge funds and securities firms as possible purchasers. ‘Living Wills’ of How to Unwind Big Banks Are Released 2012-07-03T23:54:09Z An employee at a local securities firm said police continued on Tuesday to fire tear gas and stun grenades at protesters, whose numbers were growing. Protests Force End to Factory in China 2012-07-03T12:33:54Z Barclays still lacks a joint venture with a local securities firm in China, unlike most of its peers, and has failed to win the big China equity underwriting mandates that bring fees and league-table standing. Analysis: High costs, delays, and tough timing vex Barclays' Asia plan 2012-06-27T00:17:41Z Moody's warned in February that the ratings of 17 banks and securities firms were under review because they face increased funding costs and regulatory scrutiny. Markets fall amid gloomy US forecast and global slowdown 2012-06-21T20:02:00Z The tension between the two trustees fighting over the remains of bankrupt securities firm MF Global Holdings Ltd. intensified after one of them demanded $2.3 billion from the brokerage unit overseen by the other. Battle Heats Up Over MF Global 2012-06-06T07:54:19Z "The reason I did quant is that I didn't trust human judgment, including my own," says Mr. Jones, who left Goldman in 2010 after 23 years at the securities firm. Computer Trading Takes Human Turn 2012-05-22T14:01:21Z There is a process where the securities firms are handcuffed from allowing their clients to sell right away. Why Wall Street's Usually Well-Oiled Machine Failed To Deliver Bonanza to Facebook's First-Call Big Institutional Investors 2012-05-21T13:42:47Z Men walk in front of the electronic stock board of a securities firm in Tokyo, Tuesday, May 8, 2012. European Stocks Down on Greek Political Turmoil 2012-05-08T10:38:19Z The potential collateral needs for Morgan Stanley—disclosed in a quarterly Securities and Exchange Commission filing—under that scenario are higher than the projections the securities firm issued in late February. Morgan Stanley Raises a Collateral Estimate 2012-05-07T22:05:51Z But the overseas operations of Japan's largest securities firm remained in the red amid continued uncertainty over the European debt crisis. Nomura Profit Jumps 86% 2012-04-27T14:54:28Z The trustee overseeing the brokerage arm of bankrupt securities firm MF Global Holdings Ltd. said his office was in "substantive discussions" with J.P. MF Global Trustee in Talks With J.P Morgan 2012-04-06T00:47:00Z Morgan Chase & Co. officials about a large transfer of customer funds to the bank shortly before the securities firm collapsed, according to prepared testimony from a J.P. J.P. Morgan 'Assured' on MF Global Transfers 2012-03-28T12:07:05Z All three got a boost from incentive-based pay, in contrast to smaller bonuses atop many banks and securities firms. CEO Pay ls Still Robust At Big Asset Managers 2012-03-21T16:17:07Z The case stems from Mr. Bales’s days as a broker at a securities firm in Ohio, where he sold stocks and bonds to retail investors. Bales Accused of Fraud as Stockbroker 2012-03-20T03:21:52Z Two lawmakers prodded the bankruptcy trustee in charge of unwinding MF Global Holdings Ltd. to drop his plan to pay bonuses to top executives who were at the securities firm when it collapsed. MF Global Bonuses Under Fire 2012-03-12T13:16:37Z Profits were down sharply and securities firms in New York City resumed downsizing in the second half of the year. Average Wall Street Bonus Dips to $120k After Bad 2011 2012-03-01T11:45:59Z Morgan Stanley’s credit ratings may be cut by as many as three levels as part of a review of 17 banks and securities firms with global capital-markets operations, Moody’s Investors Service said earlier this month. Morgan Stanley Trading Units Had Losses on 64 Days in 2011 2012-02-28T01:38:12Z Banks and securities firms also are being squeezed more by new rules. CEO Pay ls Still Robust At Big Asset Managers 2012-03-21T16:17:07Z The levels push brokers to consolidate orders on a particular venue to get the better pricing or use other securities firms to benefit from their ability to meet the volume requirements. Bats Gets Request From SEC on Exchange Order Types, Strategies 2012-02-24T08:35:28Z The ratings company also placed 17 banks and securities firms under review. European Stocks Post Weekly Advance to Highest Level Since July 2012-02-18T06:18:41Z The New York-based brokerage is among 17 banks and securities firms on review for downgrade, Moody’s said in a statement yesterday. Goldman Said to Delay Samurai Bond Sale on Moody’s Review 2012-02-17T07:33:24Z Goldman Sachs is among 17 banks and securities firms that Moody’s placed under review for downgrade. Goldman Said to Delay Samurai Bond on Downgrade Review 2012-02-17T06:34:24Z Moody’s said it is reviewing the credit ratings of 17 banks and securities firms with capital-markets operations, which may result in downgrades. European Stocks Are Little Changed as U.S. Data Outweigh Greece 2012-02-16T17:23:03Z Loan documents detail the securities firm’s pitch to investors, saying it’s collateralized by $2.4 billion in assets in Harbinger’s main fund. Jefferies Loan to Harbinger Will Default If Falcone Is Charged 2012-02-15T13:53:09Z The Wall Street securities firms said they would seek to recover pay from any employee whose actions expose the firms to substantial financial or legal repercussions. Bosses in Cross Hairs on Wall Street 2012-02-08T17:43:26Z Van Praag will continue to provide strategic advice as a consultant to the securities firm, according to the memo. Goldman's van Praag to retire at end of March: memo 2012-02-08T15:18:24Z Such quotas are mostly reserved for banks, mutual-fund companies, insurers and securities firms. China’s ‘Sunshine’ Trusts Miss Hedge-Fund Slump as Assets Triple 2012-02-06T16:55:08Z At least three New York securities firms folded this year. Stocks Least Loved Since ’80s as U.S. Scales Wall of Worries 2012-02-06T02:59:23Z The broker’s association, which regulates securities firms and off-exchange venues, will consider allowing trading when the main exchange malfunctions depending on feedback from investors, he said. Glitch at TSE No Payday for Japan’s Alternative Trading Venues 2012-02-02T21:54:54Z That designation usually means a larger share of the fees collected by securities firms on deals. Facebook Is Said to Pick Morgan Stanley to Lead Initial Offering 2012-02-01T05:23:33Z That designation typically results in a larger share of the fees collected by a securities firm for handling an IPO. Facebook Hires Morgan Stanley on IPO 2012-01-31T22:49:10Z The move, which was announced in an internal memo, is the latest executive shuffle since the bank's 2009 purchase of securities firm Merrill Lynch & Co. BofA Reshuffles Unit 2012-01-30T03:55:12Z This is especially so, considering the evidence of wrongdoing unearthed in private lawsuits against mortgage originators and securities firms in recent years. Fair Game: Mortgage Task Force Has Fancy Name, but Will It Get Tough? 2012-01-28T20:41:34Z Europe’s sovereign debt crisis has forced securities firms to scale back or close divisions that trade equities on the continent. RBS Cuts 4,800 Jobs as It Jettisons Units 2012-01-13T14:58:40Z The list also included a potential sale of a separate class of shares based on performance of Merrill Lynch & Co, the securities firm owned by Bank of America, WSJ said, citing the sources. BofA mulling retreat if financial problems worsen: report 2012-01-13T06:00:43Z UniCredit’s investment bank will tap Kepler Capital Markets SA, a French securities firm, to provide some research. RBS Securities Capitulation Sets Blueprint for Banks in Europe 2012-01-13T01:14:57Z So how does a securities firm select funds for its model portfolios? The Keys to Brokers' Lists 2012-01-08T22:25:47Z The story: With earnings in the financial sector slightly down, securities firms were looking to eliminate some positions, many of which commanded an average wage of $360,000. Most Shocking Business News of 2011 2012-01-06T12:52:00Z Forecasters at securities firms are more conservative on stocks than any time in seven years, predicting the Standard & Poor’s 500 Index will advance 6.4 percent in 2012 as budget deficits limit gains around the world. Gold to Outperform Dow Index on ‘Fear Trade,’ SICA Wealth Says 2012-01-06T01:39:26Z Forecasters at securities firms are more conservative about U.S. stocks than any time in seven years, predicting the S&P 500 will rise 6.9 percent in 2012 as budget deficits around the world limit gains. Doll Predicts U.S. Stocks Will Return at Least 10% This Year 2012-01-05T19:12:56Z Strategists at securities firms are more conservative on U.S. stocks. Wien Sees Oil Falling to $85, S&P 500 Topping 1,400 in 2012 2012-01-05T18:04:53Z Forecasters at securities firms are more conservative on U.S. stocks than any time in seven years, predicting the S&P 500 will rise 6.4 percent in 2012 as budget deficits around the world limit gains. U.S. Stocks Advance Amid Signs of Growth 2012-01-03T15:31:02Z The campaign severed ties after Corzine's securities firm imploded and he agreed to testify before a congressional committee about $1.2 billion in missing investor funds. Obama campaign returns cash from MF Global's Corzine 2011-12-24T00:43:06Z Morgan Chase & Co. three days before the securities firm filed for bankruptcy protection, according to people familiar with the matter. MF Global Transfer Scrutinized 2011-12-21T02:17:47Z The co-lead managers will work alongside the 14 securities firms UniCredit hired to underwrite the stock sale, said the people, who declined to be identified, because the plans are private. UniCredit Said to Plan Hiring 12 More Banks for Rights Offering 2011-12-19T16:57:08Z “Today’s figures don’t change the overall picture too much; the main reason GDP fell so strongly was a drop in investment,” said Conall Mac Coille, an economist at Dublin- based securities firm Davy. Ireland’s ‘Poster Boy’ Image in Europe Tainted as Economy Slumps 2011-12-16T13:42:52Z That was the accounting maneuver used by the securities firm before it collapsed to mask balance-sheet risk at the end of every quarter. Why Jon Corzine Is as Lost as He Seems 2011-12-15T05:02:13Z All of the customer declines last quarter were from sell- side firms, or brokerages and securities firms, according to FactSet’s statement. FactSet Falls After Subscriber Decline Overshadows Earnings 2011-12-13T22:29:01Z Senators are demanding that Corzine and two other executives from the securities firm explain who authorized the transfer of money in the days before the firm became the eighth-largest bankruptcy in U.S. history. Corzine and 2 other top MF Global executives deny role in missing $1.2B of clients? money 2011-12-13T19:34:26Z The defunct securities firm seeks to sell or liquidate Archstone for at least $6 billion, according to another person with knowledge of the plan. Lehman Said to Prepare $1.33 Billion Bid for Archstone Stake 2011-12-12T23:31:09Z The defunct securities firm seeks to sell or liquidate Archstone for at least $6 billion, according to another person familiar with the plan. Lehman Said to Prepare $1.3 Billion Bid for Archstone Stake 2011-12-12T03:48:01Z Broker-dealers — securities firms that execute trades of stocks, bonds and other assets for customers — are overseen by the S.E.C., while futures commission merchants, which trade commodities, derivatives and futures, are regulated by the C.F.T.C. Common Sense: An Unthinkable Risk at a Brokerage Firm 2011-12-09T23:18:59Z Investor George Soros's family fund bought about $2 billion of European bonds formerly owned by MF Global Holdings Ltd., the very debt that helped force the securities firm to file for bankruptcy protection Oct. Corzine's Loss May Be Soros's Gain 2011-12-09T03:19:01Z Corzine, a former Democratic New Jersey senator and governor, resigned as CEO of the securities firm last month. Corzine and 2 other top MF Global executives deny role in missing $1.2B of clients? money 2011-12-13T19:34:26Z “Competition from Chinese securities firms is squeezing fees.” Hong Kong IPOs Prove Less Lucrative as Chinese Banks Take Share 2011-12-09T03:49:35Z And yet the bosses' grim outlook is not yet fully reflected in analysts' expectations for money managers and securities firms. INSIGHT-Bearish views on brokers may not be bearish enough 2011-12-05T17:20:27Z He headed up various groups within the securities firm, including Capital Markets and the Global Credit business. Goldman veteran Forst to retire 2011-12-02T18:54:10Z The securities firm cut the value of assets linked to Spain by 62 percent from Sept. Nomura Says It Cut Italian Assets by 83% Since End of September 2011-11-28T13:14:17Z The Commodity Futures Trading Commission, which regulates securities firms, received the request from ICE Clear Credit, a division of derivatives exchange IntercontinentalExchange. CFTC asked to create rules on handling dollars from separate accounts at securities firms 2011-11-22T19:59:49Z Of the 20 companies that accounted for the most campaign donations to Mr. Brown, about half were prominent investment or securities firms like Morgan Stanley, Fidelity Investments and Bain Capital. Wall Street Rallies Around Brown for Senate Race 2011-11-19T02:13:19Z A case in point: Jefferies Group Inc., the New York-based securities firm, disclosed every long and short position it held on European debt earlier this month after its shares plunged more than 20 percent. JPMorgan Joins Goldman Keeping Italy Derivatives Risk in Dark 2011-11-16T05:21:58Z As MF Global Holdings Ltd. was sinking in late October, trader Andrew Gochberg thought he was making all the right moves to protect himself if the securities firm failed. Purgatory for MF Global Customers 2011-11-16T00:34:44Z The SEC extracted from Gutfreund an agreement never to run a securities firm again, while the others agreed to brief suspensions from Wall Street. Analysis: SEC targets low-level bankers, spares top execs 2011-11-15T20:27:02Z ICE Clear Credit clears complex trades for securities firms. CFTC asked to create rules on handling dollars from separate accounts at securities firms 2011-11-22T19:59:49Z Goldman Sachs, which was the most profitable securities firm in Wall Street history before converting to a bank in 2008, last month reported its second quarterly loss in 12 years as a publicly traded company. Goldman Sachs’s Blankfein Says World Growth Will ‘Snap Back’ 2011-11-15T16:03:43Z MF Global Holdings Ltd. sold about $1.5 billion of its European sovereign-debt holdings just before the securities firm filed for bankruptcy Oct. MF Sold $1.5 Billion in European Debt in Days Before Bankruptcy 2011-11-09T23:19:54Z Nomura Holdings Inc. rose 4.1 percent in Tokyo, rebounding from yesterday’s 15 percent plunge, after Japan’s biggest securities firm said it is unaware of any involvement in Olympus Corp.’s concealment of losses. Asian Stocks, Won Snap Two-Day Drop on China Inflation, Italy 2011-11-09T04:24:03Z Nomura Holdings Inc., Japan’s biggest brokerage, led declines among securities firms. Japanese Stocks Fall as Berlusconi Struggles, Olympus Plunges 2011-11-08T04:34:03Z The projections, to be released Tuesday by consulting firm Johnson Associates Inc., reflect the tough times at many banks and securities firms since the spring. Wall Street to See Smaller Bonuses This Year 2011-11-08T01:04:51Z Without the ongoing support of these lenders, the securities firms couldn’t stay open. MF Signs Death Warrant for Short-Term Funding: William D. Cohan 2011-11-08T01:14:17Z Regulators are in the midst of trying to transfer about a third of the accounts to other commodities brokers and securities firms. Wealth Matters: MF Global Customers Seeking Access to Accounts 2011-11-05T02:13:07Z MF Global Holdings Inc. scrambled to raise cash and position the securities firm for a sale as its stock price sank below $1 at one point on Friday. MF Global Fights to Live Until Sale 2011-10-29T22:44:14Z To establish that Gupta leaked news about his securities firm’s losses, the indictment states he called Rajaratnam 23 seconds after leaving a board conference call on Oct. Circumstantial Evidence in Gupta Case May Help Defense 2011-10-27T04:25:19Z About 350 enforcement cases involved "dishonest or unethical activity" by licensed securities firms or professionals. States order return of $14.1 billion to investors: NASAA 2011-10-19T18:23:15Z He understood exactly the fragile short-term funding dynamic of a securities firm. MF Signs Death Warrant for Short-Term Funding: William D. Cohan 2011-11-08T01:14:17Z Among all the business sectors in the United States, the financial industry -- banks, securities firms, insurance companies and the like -- represents the biggest source of cash for presidential candidates. Wall Street giving down, but Romney leads U.S. pack 2011-10-17T22:45:35Z New York's comptroller estimated in his report that one in eight New York City jobs and one in 13 New York State jobs depends on securities firms. Analysis - Wall St. set to shrink as jobs cut, bonuses at risk 2011-10-11T20:31:07Z DiNapoli's office estimates that one in eight city jobs and one in 13 state jobs rely on securities firms. NY securities sector may lose 10,000 jobs: report 2011-10-11T06:43:38Z The loans are generally made by securities firms to investors and use financial assets such as stocks and bonds as collateral. Banks Offer Top Customers Cheap Cash 2011-10-11T04:24:08Z Both provide further evidence that the short-term funding model for securities firms needs to be ended because it’s simply too risky. MF Signs Death Warrant for Short-Term Funding: William D. Cohan 2011-11-08T01:14:17Z "I'm strategically aggressive," says Mr. Lawsky, who went after a slew of banks, securities firms and top executives while working in the attorney general's office. Wall Street's New Watcher 2011-10-03T02:04:10Z Ten-year note yields will increase to 2.20 percent by year- end, according to the average forecast in a Bloomberg News survey of banks and securities firms, with the most recent forecasts given the heaviest weightings. Treasuries Post Biggest Quarterly Rally Since 2008 as Refuge 2011-09-30T21:41:01Z He expanded the business in an effort to compete with the world’s top securities firms. Tough Chores Await the New UBS Chief 2011-09-29T20:45:26Z Ten-year yields will increase to 2.20 percent by year-end, according to the average forecast in a Bloomberg News survey of banks and securities firms, with the most recent forecasts given the heaviest weightings. Treasuries Gain, Extend Their Biggest Quarterly Rally Since 2008 2011-09-30T17:05:02Z After joining UniCredit as investment banking chief in 2005, the former head of derivatives and equities at Merrill Lynch first attempted to expand the business to compete with the world’s top securities firms. UBS’s Ermotti Faces Tasks of Shrinking Bank, Keeping Clients 2011-09-25T22:23:04Z Morgan Stanley was the world’s largest securities firm when Mack returned after a four-year absence in June 2005 to replace CEO Philip J. Purcell, who left under pressure from investors and employees. Morgan Stanley Chairman Mack to Step Down, Cede Role to Gorman 2011-09-15T19:45:01Z The cuts are the latest in a series of downgrades to global growth forecasts by major securities firms. Christine Lagarde calls for European banks to find more capital 2011-08-28T18:56:47Z “We have been communicating throughout the day with markets and securities firms on whether the markets will be open Monday,” Nester said yesterday. NYSE Prepared to Open Exchange as Hurricane Threatens Shutdown 2011-08-27T20:13:29Z Regulators, exchange operators and securities firms stressed that they expect business to open as usual on Monday, thanks in part to contingency plans that have reduced their dependence on their New York operations. Wall Street Braces for a Real Storm 2011-08-26T23:57:02Z Western European securities firms and banks are cutting jobs after reporting declines in investment-banking profit as the continent’s sovereign debt crisis cripples trading. Russia’s VTB, RenCap Add Bankers as Global Competitors Retreat 2011-08-26T07:49:58Z Executives had already begun estimating Morgan Stanley’s potential use of the Fed’s Primary Dealer Credit Facility, a program created that year to supply emergency funds to securities firms. Morgan Stanley at Brink of Collapse Got $107 Billion From Fed 2011-08-22T23:33:13Z Goldman Sachs Group Inc. said U.S. securities regulators are investigating whether the securities firm broke bribery laws. SEC Probes Goldman Over Libyan Dealings 2011-08-10T00:30:13Z The securities firm was No. 23 among managers of global equity transactions last quarter, arranging $1.2 billion in sales, data compiled by Bloomberg show. Nomura, Daiwa Seek to Cut Costs as Losses Accumulate Overseas 2011-07-31T14:23:01Z The company’s status as Wall Street’s most powerful and profitable securities firm — with a leadership that produced two U.S. Goldman?s lost shine 2011-07-31T00:56:57Z Rival Daiwa Securities Group Inc. posted its fifth loss in six quarters, as Japan’s two biggest securities firms try to contain staffing costs that are swelling as they expand overseas. Nomura Profit Climbs as One-Time Gain Outweighs Overseas Loss 2011-07-29T15:22:03Z So hedge funds moved quickly to pull their money from Morgan Stanley, viewed as the next weakest securities firm after Lehman, according to the report. Morgan Stanley at Brink of Collapse Got $107 Billion From Fed 2011-08-22T23:33:13Z At the same time, Chinese securities firms are vying to steal a march on foreign rivals by advising local companies on stock offers and acquisitions abroad. Top China IPO Underwriter Guosen Doubles Staff at Hong Kong Arm 2011-07-25T02:17:28Z The company’s status as Wall Street’s most powerful and profitable securities firm -- with a leadership that produced two U.S. Goldman Model Championed by Blankfein Planted Seeds of Distress 2011-07-22T00:25:04Z "In Laos, they did exactly the same thing," says Morten Kvammen, managing partner of one of the licensed securities firms, Cambodia Capital. Taking stock 2011-07-10T16:03:39Z As was the case in Vietnam, Mr. Suzuki said, securities firms would probably spend years trying to persuade companies to list. Shares Needed as Cambodia Gets a Stock Exchange 2011-07-10T12:43:45Z Many funds now restrict the ability of securities firms to repledge assets to obtain funding, a process known as “rehypothecation,” Yip said. Morgan Stanley at Brink of Collapse Got $107 Billion From Fed 2011-08-22T23:33:13Z “Ireland may not be treated in the same manner as Portugal,” Conall MacCoille, an economist at Dublin-based securities firm Davy, said in a note today, citing the government’s progress in meeting its deficit goals. Ireland May Be Next to Face Junk as Moody’s Cuts Portugal 2011-07-06T14:00:28Z Goldman's warehouse on the banks of the Detroit River is one of more than 100 storage facilities controlled by the giant securities firm around the world. Big Banks Find Cash Storing Commodities 2011-07-05T01:09:10Z In that case, traders from the securities firm submitted false bids under other bidders' names in Treasury auctions in order to more closely control the results, and their bids altered the auction prices. U.S. caught China buying more debt than disclosed 2011-06-30T12:44:51Z The cuts at Credit Suisse come as other banks and securities firms in the U.K. and Europe reduce staff numbers following a slowdown in revenue. Credit Suisse Said to Plan 40 Job Cuts at Investment Bank 2011-06-29T10:39:58Z The Tokyo-based securities firm agreed to move its New York headquarters to Worldwide Plaza, a Midtown skyscraper on Eighth Avenue, the person said. BofA Said to Reach Tentative Deal at World Financial Center 2011-06-28T23:23:31Z Goldman Sachs, which was the most profitable securities firm in Wall Street history before the 2008 financial collapse, has been a target of regulatory and political investigations since then. Goldman Adds Barnard College President Debora Spar to Board 2011-06-16T17:41:43Z Through sponsored access, securities firms such allow their customers to send orders to exchanges under their broker’s identification code. Wedbush Buys Lime Brokerage to Help Meet Market-Access Rules 2011-06-14T14:21:13Z Benchmark indexes will climb 14 percent in 2011, propelled by a doubling in profits and the lowest valuations in two years, according to the average forecast from strategists at 15 securities firms compiled by Bloomberg. First Capital Spending Gains Since ‘07 Show Europe Rally Intact 2011-06-12T22:31:32Z Interactive Brokers Group Inc., the electronic market maker and securities firm, raised margin requirements to 100 percent for some Chinese stocks, because of “elevated risk concerns,” according to a statement on its website. China’s Sina Extends Losses After Biggest Fall Since 2008 2011-06-09T20:39:16Z China's IPO market, which last year accounted for about 27 percent of global volumes, is currently dominated by local securities firms such as Citic Securities and Ping An Securities. UPDATE 2-Citi to form China securities venture with Orient-sources 2011-06-01T07:06:46Z “We were expecting the terms of the offer to be bad, but this is worse than expected,” said Stephen Lyons, a fixed- income analyst with Dublin-based securities firm Davy. Bank of Ireland to Impose Up to 90% Losses in Bondholder Deal 2011-05-31T12:08:16Z Based in China's southern Hunan province, Founder Securities is the country's 16th-biggest securities firm by revenue. China approves Founder Securities' Shanghai IPO 2011-05-30T15:08:24Z RBS is seeking to to strengthen its business in China Royal Bank of Scotland has launched a joint venture with a Chinese financial securities firm. RBS launches China joint venture 2011-05-29T16:00:47Z A 2010 inquiry by the government in Athens uncovered a series of deals with securities firms, saying that they may have allowed it to mask the real state of the public finances. Draghi Channeling Bradley Deploys Self-Reliance in Crisis at ECB 2011-05-24T22:26:03Z The bank returned in June 1998, weeks before the Russian government defaulted on ruble debt, causing hundreds of millions of dollars in trading losses for securities firms worldwide. Goldman Finding Third Time a Charm as Blankfein Courts Kremlin 2011-05-23T23:23:04Z But his "sell" rating is the only one among 25 analysts who follow the securities firm. You Won't Read This Story About Goldman 2011-05-19T12:04:34Z "I don't think this is a big story yet," said Dan Ripp, an analyst with Bradley Woods, a securities firm in New York. Debate begins in earnest as U.S. hits debt limit 2011-05-15T12:02:59Z By contrast, Goldman Sachs and Morgan Stanley, the two biggest U.S. securities firms until September 2008, are already bank holding companies under Federal Reserve supervision. Glencore IPO Shows Unregulated Traders Beating Goldman Sachs 2011-05-05T01:01:01Z Goldman, the most profitable securities firm in Wall Street history before converting to a bank in 2008, recommended Dec. 1 that investors buy a basket of commodities consisting of crude, copper, cotton, platinum and soybeans. Morgan Stanley Aligned With Commodity Bulls as Goldman Says Sell 2011-05-02T23:05:02Z Goldman and Morgan Stanley transformed themselves from securities firms into bank holding companies. How Goldman Sachs Beat the Bubble 2011-04-29T21:28:57Z "The unwritten rule of Congress is: Why do today what you can put off until tomorrow?" said Dan Ripp, an analyst at New York securities firm Bradley Woods. Politics, ideology overshadow debt limit talks 2011-04-20T13:17:18Z Goldman Sachs is the only major foreign securities firm in India without either a commercial-banking license, needed to engage in currency transactions, or a permit to underwrite government bonds. Goldman Sachs Finds It Slow Going in India 2011-04-14T21:00:00Z “The expertise would have to be developed very quickly over time to deal with companies they are not used to dealing with, like securities firms and non-banking businesses.” Dodd-Frank Would Have Rescued Lehman Creditors, FDIC Says 2011-04-18T20:26:28Z The HKMA’s review follows inspections by the Securities and Futures Commission of 17 of the 73 securities firms in the city, the world’s largest market for initial share sales. Hong Kong Reviews IPOs by Five Banks Including JPMorgan, UBS 2011-04-18T08:50:02Z Goldman Sachs is the only major foreign securities firm in India without either a commercial-banking license needed to engage in currency transactions or a permit to underwrite government bonds, known as a primary dealership license. Goldman Advance in India Means Turning Half-Cent Fees to Profit 2011-04-12T22:36:01Z Apollo may provide additional financing to the securities firm to help it underwrite these offerings, according to the SEC filing. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z He also said the nation needs to attract financial-industry experts from abroad to bolster skills at local securities firms. Korea May Merge Daewoo Securities, Woori Investment, Kim Says 2011-04-06T23:06:15Z The conversion took place about a week after Lehman Brothers Holdings Inc., which was then the fourth-biggest securities firm, filed the biggest bankruptcy in U.S. history. Goldman Sachs Borrowed From Fed Window Five Times, Data Show 2011-03-31T20:04:01Z He is lead plaintiff in a 2005 case claiming the New York- based securities firm, acquired by Bank of America in 2009, discriminated nationally against African-American suppressing their ability to economically compete with white colleagues. Merrill Lynch, BofA Win Dismissal of Racial Bias Lawsuit 2011-03-30T18:47:01Z The yield was 0.920 percent, compared with the average forecast of 0.981 percent in a Bloomberg survey of 9 of the 20 primary dealers, securities firms obliged to participate in U.S. auctions. Treasuries Decline as Geopolitical Concern Eases, Economy Gains 2011-03-26T04:07:15Z Irish banks would need an additional 20 billion euros of capital to absorb losses flowing from any rapid sale of assets, according to Davy, the Dublin-based securities firm. Dollar Declines to 15-month Low Amid Demand for Growth Assets 2011-03-22T14:03:02Z Morgan Stanley, the New York-based securities firm, said it will proceed with plans to buy the portion of the Smith Barney brokerage it doesn’t already own after the Fed’s review. JPMorgan Leads $22 Billion Increase in Bank Payouts, Buybacks 2011-03-18T23:28:44Z When regulators last cracked down on such filing violations in 2004, the sweep ensnared nearly 30 securities firms, including some of the biggest names on Wall Street. DealBook: Wall St. Often Slow to Disclose Brokers' Sins 2011-02-23T00:59:42Z That poses a dilemma for securities firms’ trying to ensure their best performers don’t depart. ICBC Securities Unit to Hire From Global Competitors 2011-02-14T02:44:56Z Competition in Asia is fierce as Goldman and other securities firms try to offset slower growth in the U.S. Corzine Builds MF in Goldman's Image 2011-02-03T05:09:46Z In 2010, total compensation and benefits at publicly traded Wall Street banks and securities firms hit a record of $135 billion, according to an analysis by The Wall Street Journal. Wall Street Pay Reaches Record $135 Billion 2011-02-02T02:11:18Z The securities firm received more than $367 million of “economic value,” according to the complaint. JPMorgan Refused Mortgage Repurchases It Also Sought, Ambac Says 2011-01-25T01:54:28Z Asia may surpass Europe in investment-banking revenue this year for securities firms, according to Freeman data. BofA Talent Exodus Halves Europe Market Share 2011-01-18T00:08:44Z Tying up with a local partner is a requirement for foreign securities firms to manage stock and bond sales in China, according to Bloomberg data. Dangdang CEO Li Says Morgan Stanley Undervalued IPO 2011-01-17T10:18:13Z “Allowing securities firms to financially intimidate investors who bring claims must not be permitted.” Fair Game: Arbitration, Litigation, Aggravation 2011-01-15T19:42:12Z Goldman Sachs and Morgan Stanley are among securities firms vying for lucrative assignments to arrange what may become a surge in multibillion-dollar IPOs for Web startups. Goldman Sachs CEO Blankfein Is Said to Visit Groupon About IPO 2011-01-15T05:03:07Z Goldman Sachs and Morgan Stanley are among securities firms vying for lucrative assignments to handle what may become a surge in multibillion-dollar IPOs for Web startups. Goldman Sachs CEO Blankfein Is Said to Visit Groupon 2011-01-14T23:38:02Z Goldman Sachs, like most securities firms, treats some clients differently than others. Goldman Image Makeover May Be Undermined by Facebook 2011-01-07T22:30:03Z Brooke Allen is a trader at a securities firm. Support groups for jobless Americans get creative 2011-01-07T13:43:29Z Ten of the largest securities firms together earned about $6.4 billion in profits, according to the China Securities Association. DealBook: Banking Giants Get Nod From China 2011-01-07T12:38:48Z At the heart of the problem for Goldman Sachs is that it -- like most securities firms -- treats some clients differently from others. Goldman Efforts to Burnish Image May Be Undermined by Facebook 2011-01-07T05:30:35Z Analysts said the securities firm also is likely to get a private-placement fee for arranging the deal. Facebook Orders Flood Goldman 2011-01-06T15:46:09Z The securities firm received orders of "several billion dollars," the paper reported on Wednesday, quoting these people. Goldman planning to end Facebook solicitation: report 2011-01-06T13:24:50Z Wealthy clients of Inc. began jockeying for a piece of the deal struck by the securities firm to invest in social-networking company Facebook Inc., according to people familiar with the situation. Goldman Clients Jockey for Shot at Facebook Shares 2011-01-03T21:18:28Z Though many cash-hungry companies -- especially insurers, regional banks and securities firms -- are expected to tap the stock market for capital, it's uncertain how soon these IPOs will materialize, analysts said. Hainan Rubber rounds off big year for China IPOs 2010-12-30T06:32:29Z Fleming, who was president and chief operating officer at Merrill, left within days after Bank of America completed its Jan. 1 takeover of the New York-based securities firm. Morgan Stanley chief snags former Merrill Lynch colleague 2009-12-14T05:00:00Z The most profitable securities firm in the history of Wall Street also won the largest share of business in Europe, the Middle East and Africa. Morgan Stanley Overtakes JPMorgan 2010-12-23T12:17:22Z The securities firm filed the biggest bankruptcy in U.S. history when it failed in September 2008. JPMorgan Buys Lehman’s London Office for $769 Million 2010-12-20T17:14:05Z He says he rejects the idea of expanding BlackRock's reach by moving closer to an investment bank or securities firm approach—no need to be a coyote when you're already a colossus. The Colossus of Wall Street 2010-12-09T22:00:00Z She was called "Queen of the Net" by Barron's in 1998, only to see her star dim as technology stocks plunged and regulators said securities firms used biased research to lure banking business. Morgan Stanley's Meeker Sees Online Ad Boom 2010-11-16T05:01:00Z The Financial Industry Regulatory Authority, or FINRA, which regulates securities firms, recently issued a warning about the old GM stock. No stock exchange for old, new GM shares 2010-11-18T04:53:00Z A few years ago, while working at another securities firm, Mr. Chiang says he had a "sell" rating on Forest. Analysts Shunned Over Bearish Views 2010-10-28T00:40:00Z Now the securities firm is getting a help from an unusual source: federal prosecutors. U.S. Seeks to Shield Goldman Secrets 2010-10-27T03:37:00Z But what happens when China's banks and its growing ranks of regional securities firms are able to shoulder the load? Special Report: Is Wall Street chasing the dragon? 2010-10-26T15:00:00Z Unlike some colleagues at the securities firm who didn't talk, Mr. Brown spent hours answering questions. Retrial Dropped, Enron Figure Speaks 2010-10-23T01:43:00Z But the tone of the conference suggested a revival of bond market fervor as attendees packed parties hosted by securities firms, including Barclays Capital and Citigroup. Distressed bond trader Devaney ponders new fund 2010-10-05T18:20:00Z But the tone of the conference suggested a revival of bond market fervor, as attendees packed parties hosted by securities firms including Barclays Capital and Citigroup. Distressed bond trader Devaney ponders new fund 2010-10-05T13:22:00Z The real baddies are Bretton James and the securities firm he runs, Churchill Schwartz—perhaps the least disguised fictional name ever. Wall Street, the sequel: Goldman whacked 2010-09-16T11:19:00Z “There was a lot of demand for the stock because of its novelty value,” said Pankaj Agarwal, an analyst at the securities firm Execution Noble. SKS Microfinance Raises $350 Million in Offering 2010-08-16T14:18:00Z Deutsche says that helping investors bet either way—either for or against an asset—is part of doing business for a securities firm. Probes Spotlight Dual Roles in Housing Deals 2010-08-03T01:42:00Z The bill also requires securities firms that trade derivatives to maintain certain levels of capital. For Derivatives, Law Could Bring New Light 2010-07-16T05:56:00Z “He’s done some things that have generated controversy,” said Michael G. King Jr., a biotechnology analyst at Wedbush Securities who followed Abraxis when he worked at another securities firm. Celgene to Buy Abraxis BioScience for $2.9 Billion 2010-07-01T04:21:00Z But script advisers from the financial world persuaded Mr Stone that an investment banker would be more realistic, since it was banks and securities firms, not “alternative” money managers, that had blown up the system. Wall Street, the sequel: Goldman whacked 2010-09-16T11:19:00Z Pedestrians are reflected in the electric stock board of a securities firm in Tokyo, Thursday, May 6, 2010. Asian Shares Fall on Europe Woes 2010-05-06T04:48:00Z A leading Chinese securities firm and a French bank with a brokerage in Hong Kong are teaming up to conduct an interesting experiment in the testing ground of China's capital markets. Cr?dit Agricole in China Securities Experiment 2010-04-25T15:23:00Z The securities firm Drexel Burnham Lambert raised $2.5 billion in junk bonds to help finance the Beatrice deal, believed at the time to be the largest leveraged buyout in United States history. Donald P. Kelly, 88, a Master of Leveraged Buyouts, Dies 2010-03-27T02:21:00Z The Wisconsin districts claim they bought investments they didn't understand or were misled by banks and securities firms. Investments Trip Up Wisconsin Schools 2010-03-25T01:13:00Z Now, Goldman Sachs, Morgan Stanley, UBS and other investment banks are trying to strengthen their business here and also form securities firms to compete with China International Capital and Chinese brokerage houses. Deal Seen for Stake in China Investment Bank 2010-02-23T14:47:00Z They grew quite wealthy in finance, typically making their fortunes in the ’70s and ’80s when banks and securities firms were considerably more regulated. 2010-02-17T02:27:00Z The tie-up, which still needs regulatory approval in Beijing, would see a foreign player for the first time join forces with a top-tier Chinese securities firm to underwrite and trade shares in China's domestic market. Cr?dit Agricole in China Securities Experiment 2010-04-25T15:23:00Z Moreover, the Fed also agreed to open its discount window to securities firms for the first time. 2010-02-12T02:24:00Z Goldman Sachs, the most profitable securities firm in Wall Street history, cut the percentage of revenue earmarked for pay to the lowest in its 10 years as a public company. 2010-02-06T12:26:00Z Many banks and securities firms are paying bonuses with a bigger percentage of stock. 2010-01-28T05:16:00Z "The forecast is generally positive and that would sharpen the need for both the acquirers to consider upping their bid," said Michael Heffernan, a strategist at securities firm Austock Group. 2010-01-21T08:18:00Z Their measure would reinstate the 1930s-era Glass-Steagall limits on banking by barring large banks from affiliating with securities firms and being in the insurance business. 2010-01-21T06:43:00Z The Wall Street Journal on Friday reported that the top 38 U.S. banks and securities firms are on pace to pay their people $145 billion, based the newspaper's analysis. 2010-01-15T18:35:00Z Between graduation and the launch of New Horizon Capital, Wen started a telecoms equipment maker whose key clients included large banks and securities firms, according to Chinese and Hong Kong media reports. 2010-01-25T06:46:00Z Simon Johnson, a former chief economist at the International Monetary Fund, said allowing either bank to revert to a securities firm would do little to address the underlying problem. 2010-01-23T05:40:00Z |
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