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All RRs: Broker-Dealer--Retail & Institutional; IC's-- Number Retail & Institutional; Sales Force--Number Retail and Institutional
Broker-Dealer RRs: Includes the number of broker-dealer RRs by firm. For Yearbook purposes, the definition for broker-dealer RRs is: - Full-time employee of the SIFMA member firm (not the parent) and primarily engaged (more than 50%) in selling securities on a full-time work week basis (not less than 35 hours).
- Independent Contractors: Includes the number of ICs by firm. For Yearbook purposes, the definition for ICs is: Are not employees of the securities firm but rather individuals who engage in sales activities under a contract with the firm.
- Other RRs: Those not included in the previous two categories. Generally, these RRs sell financial products," e.g., insurance policies, CDs, etc.
- Total Sales Force: The sum of Broker-Dealer RRs, Independent Contractors and Other RRs.
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| $250.00 |
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Assets Under Management and Customer Accounts
Assets Under Management: Lists the dollar value of all institutional and retail assets under management (assets which the firm has discretionary management authority over) including equities, fixed income products, proprietary funds, money markets, private portfolios and insurance at year-end. Customer Accounts: Indicates the number of accounts the firm considers active and for which it sends a statement at year-end. This report lists SIFMA's membership by name whether or not they provided information.
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| $200.00 |
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Broker-Dealer Offices: Domestic & Foreign
Broker Dealer Branch Offices: For Yearbook purposes, the number of branch offices includes headquarters of securities firms and employees who are primarily engaged (more than 50%) in selling securities full-time. This report gives the name of the SIFMA member along with the number of branch offices, with a breakout of domestic and foreign locations.
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| $75.00 |
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Capital Rank, Along With Net Capital Figures
Capital: Broker-dealer members of SIFMA use the regulatory definition of capital--that is, the sum of ownership equity and subordinated liabilities. Those members who hold “parent" membership in SIFMA have the option of using the regulatory definition of capital or the sum of ownership equity and long-term borrowings.
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| $100.00 |
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Clears Through
Clears Through: This report shows the entities the company clears through, as well as whether it is self-clearing.
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| $100.00 |
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Employee Rank
Employee Rank: This report lists all SIFMA members ranked by number of employees. Numbers do not include employees of the Parent Company.
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| $75.00 |
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Firms with IC's and IC Offices: Domestic & Foreign
Independent Contractor Offices: For Yearbook purposes an IC Office is defined as an office staffed by ICs (Independent Contractors). See definition of ICs above. This report gives the names of the firms who indicated they had such an office, with a breakout of domestic and foreign locations.
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| $75.00 |
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Firms with Satellite Offices: Domestic & Foreign
Satellite Offices: For Yearbook purposes, a Satellite Office is defined as: NASD registered and other OSJs (Offices of Supervisory Jurisdiction), staffed full-time, that is not primarily engaged (less than 50%) in selling securities, such as a desk in a bank staffed by a bank employee who has a Series 7 license. This report gives the names of the firms who indicated they had such an office, with a breakout of domestic and foreign locations.
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| $75.00 |
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Total Locations: (Broker-Dealer, IC Offices & Other)
Total Locations: This report breaks out Total Locations by Broker-Dealer Offices, IC Offices and Others (Satellite/OSJ), as well as a breakout of domestic and foreign for each category.
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| $250.00 |
