Thain made the comments today as the brokerage industry gathered in Boca Raton, Fla.
We may never know because the brokerage industry will never allow an end to self-regulation.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
Yet, for some reason, the brokerage industry believes government regulation is a bad idea.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
The brokerage industry will have to find other sources of income as commission rates rapidly slide downwards.
Long before these mandates came down, the brokerage industry began tracking cost basis, for a different purpose.
Candib left the brokerage industry shortly after Kearney lost her savings and could not be reached for comment.
How about the proposal to turn all investment advisers over to FINRA, the discredited brokerage industry self-regulatory organization?
FORBES: Develop a "Fiduciary Response" or You Will Get Scammed
The SEC has allowed the brokerage industry to control the content and timeliness of other disclosures to the public.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
If all the ugliness of the brokerage industry were properly disclosed, how many investors would be saved from ruin?
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
That raises all sorts of thorny questions for the brokerage industry at large.
One almost laughable example of lame self-regulation: the BrokerCheck Program, run by the National Association of Securities Dealers, the brokerage industry's self-regulator.
But the timing comes as the brokerage industry has been debating whether to take up more of the burden of identity protection.
The liberated investor gave rise to a discount brokerage industry at the same time that technology made possible an explosion in trading.
As at end March 2011, the Big Five provided custody for 16.9 percent of total of brokerage industry individual customer equity holdings.
FORBES: On-Line Brokers and the (Unfulfilled) Promise of Tokyo's "Big Bang"
The brokerage industry knows the American public no longer believes self-regulation works.
In addition to the disciplinary data, the Directory provides investors with an overview of the brokerage industry and a methodology for analyzing brokerages.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
While the NYSE figures out where it's headed, the brokerage industry is putting the mutual fund and pricing scandals behind it, or trying to.
It is our conclusion, based upon of years of investigations, that self-regulation of the brokerage industry is the root cause of many brokerage abuses.
Is the brokerage industry so uniquely trustworthy that it should be allowed to self-police when banks, insurance companies and others are not so allowed?
If self-regulation were truly comparable to regulation by the SEC, presumably the brokerage industry would have no reason to oppose an end to self-regulation.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
There has been a great deal of pushback from the brokerage industry over the issue of creating a uniform fiduciary standard for all advisors.
FORBES: What Every Client Needs To Know, But Didn't Know To Ask
The origins of the consulting business are in the brokerage industry.
FORBES: International Campaign to Eliminate Pension Consultant Abuses (November 2, 2004 )
For example, self regulation of the brokerage industry should be reexamined.
The NASD Public Disclosure Program was developed by an association of brokerages that has historically been allowed to self-regulate the brokerage industry after much prodding by Congress.
The lawsuits come at a particularly sensitive time for Morgan Stanley and the brokerage industry which recently came through a separate pay-to-play scandal involving mutual funds.
In the 13 states that offer transferable film tax credits, a brokerage industry has quietly cropped up that allows unused credits to be sold to unrelated industries.
FORBES: As Oscar Nominated Hollywood Moguls Bag Tax Cuts, They Seek To Raise Yours
In the fiercely-competitive online brokerage industry, Charles Schwab has been on its toes trying to make sure it provides its customers with a one-stop solution for all their financial needs.
The Securities Industry Association, the lobbying group for the brokerage industry, is considering whether to argue that the Utah law be struck down or is subject to preemption by federal securities laws.
"The problem with the brokerage industry is that it has an internal conflict, " says Herbert Milstein , a leading class action securities lawyer with Cohen, Milstein, Hausfeld, and Toll in Washington, D.
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