No prospectus? NYSE blames brokerage firms

Article Abstract:

As part of its effort to avoid charges of being too lenient on member firms, the New York Stock Exchange is strengthening its requirements regarding investor relations standards. In a letter from the Exchange's enforcement chief Susan Merrill to securities industry chief executive officers, firms are being asked to admit to any financial deals they have sold that were not accompanied by the mailing of prospectuses to investors.

Product standards, safety, & recalls, Financial management, Management dynamics, Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors, Investor Relations, Investor Protection & Disclosure, Finance & Stockholder Relations, Stockholder Relations, Standards, Management, Discipline, Records and correspondence, Disclosure (Securities law), Company business management, New York Stock Exchange Inc., MWD, Morgan Stanley, Merrill, Susan

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O'Neal crafts nimbler Merrill Lynch

Article Abstract:

Merrill Lynch and Co.'s new chief executive, Stan O'Neal, will have to make some difficult choices about the direction of the company. O'Neal is placing the company's focus on profit, rather than on just maintaining clients.

Strategy & planning, Planning, Appointments, resignations and dismissals, Company business planning, Merrill Lynch & Company Inc., O'Neal, Stan

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Street's top dogs get top dollar

Article Abstract:

Chief Executive Officers of four large brokerage companies have received pay raises of 33 percent or $110.1 million amongst them despite modest company stock gains.

Personnel administration, Compensation and benefits

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