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.
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.
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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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.
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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Crull entered the securities industry in November 1989 and was employed by FSC Securities Corporation from 2008 until December 2010.
This Tuesday promises to be a historic day for the securities industry.
Before buying, it also pays to check price quotes against the securities industry Web site, www.investinginbonds.com, to avoid getting gouged by brokers.
Employment in the securities industry nationwide fell 10.7% from its peak in March 2001 to October 2003, according to figures from the Securities Industry Association.
The actual monthly composition of the U.S. bond market is tallied and tracked by the Securities Industry and Financial Markets Association ( SIFMA).
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Associated person Cammarota entered the securities industry in September 2011 with SagePoint Financial, where he remained until his discharge on November 14, 2011.
If investors gain and the securities industry looses as a result of mandatory arbitration, then why is the industry so adamant about it?
According to an investor alert issued by FINRA, the securities industry self-regulator, many REITs were sold to people who were promised stable-value products.
Before that, the Securities Industry and Financial Markets Association, a trade group, made a request to California Gov. Jerry Brown to veto the bill.
Rapley entered the securities industry in 1995 and was registered with FINRA member firm Andrew Garrett, Inc. during the times relevant to this matter.
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