Securities industry rules forbid your old brokerage firm to drag its feet in transferring your account.
Wall Street's main lobbying group, the Securities Industry and Financial Markets Association, backed that view.
Many in the securities industry are understandably concerned about the tracking function they must now perform.
The securities industry has mostly accepted that some version of basis reporting is a done deal.
Overly bullish analysts and conflicts of interest have been a problem in the securities industry.
Employment in America's securities industry has dropped from 786, 000 to a smidgen over 700, 000.
He was able to hire longtime securities industry legal nemesis Aidikoff to defend his interests.
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In 2011, Falcone rejected an SEC agreement that would have banned him from the securities industry.
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The second resource is investinginbonds.com, a site run by SIMFA, the Securities Industry and Financial Markets Association.
Both Cruz and Crawford have securities industry experience, a skills-set critics have said was missing from the board.
We've got to look at more liberalization in the securities industry, so companies can raise capital more easily.
The securities industry is regulated by the Securities and Exchange Commission and the Commodities and Futures Trading Commission.
Why not just snuff the SEC altogether and let the securities industry and exchanges completely and utterly regulate themselves?
Bond trading was halted by noon Eastern time on a recommendation from the Securities Industry and Financial Markets Association.
In addition, Guerra will be barred from the securities industry for five years.
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The investment management and securities industry is clearly riddled with conflicts of interest.
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At this time in history, it is apparent to most Americans that the securities industry is not effectively policed.
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"The issue has been finding an appropriate business model, " says Frank Fernandez, the research director at the Securities Industry Association.
Paulson rapidly came to believe the Web was going to change the securities industry more radically than anything before it.
On the stock market, the news is decidedly downbeat, particularly for the securities industry that makes money from trading volume.
The Financial Industry Regulatory Authority (Finra), a self-regulator for the broader securities industry, also has an online bond-trading database.
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So does the trade group Securities Industry and Financial Markets Association (SIFMA), whose database can be found at InvestingInBonds.com.
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Morris, a Democratic political operative, has pleaded not guilty but separately was banned earlier this year from the securities industry.
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The securities industry, according the city's Independent Budget Office (IBO), accounts for 25% of the wages paid in the city.
Just weeks before, the U.S. Securities and Exchange Commission reversed a lifetime ban from the securities industry the NASD had slapped on him.
Right now, if you have a broker dispute, you have to submit to mandatory arbitration run by the securities industry.
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Cox entered the securities industry in August 2003, and in July 2008, he became associated with Cambridge Investment Research, Inc.
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While the future could be bright for the asset backed securities industry, lurking in the shadows are signs of new problems.
Mr Shiokawa's swift response he called the head of the securities industry organisation and urged him to rectify these flaws worked wonders.
Crull entered the securities industry in November 1989 and was employed by FSC Securities Corporation from 2008 until December 2010.
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