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Announcements
Beware of Auction Rate Securities Settlement “Phishing” Scam
FINRA has issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises compensation from ARS settlements in exchange for personal information. The email looks like it originated from FINRA–although it did not. It purports to inform the recipient of regulatory actions, including fines imposed by FINRA related to ARS, and states that the recipient is due $1.5 million regardless of the amount of their ARS investment or loss. The email then “phishes” for personal information including occupation, address and phone number.
A sample phishing email, and additional information, is available on FINRA's Web site.
Regulation SHO: Long and Short Sale Buy-In Obligations
New York, NY August 11, 2009 - In October 2008, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 204T of Regulation SHO, effective through July 31, 2009. The SEC has issued Rule 204, its final version of the rule. Read the full announcement.
New Online Feature: Submit a Check Request
Follow our quick online process to request a check, which can be sent directly to you or to a designated third party.
Keynote Full-Service Online Brokerage Q1 Scorecard ranks smithbarney.com #1 overall, for the 9th consecutive time
New York, NY April 2, 2009 — Keynote Competitive Research, the industry analysis group of Keynote Systems Inc.1, recently announced that Smith Barney's Web site, smithbarney.com, has retained its position as the top full-service brokerage site according to a bi-annual study that examines and ranks the implementation of online best practices by leading full-service brokers. It is the ninth consecutive Keynote Scorecard, dating back to July 2002, in which smithbarney.com has claimed the top spot.
The Keynote Financial Services Scorecard for Full-Service Brokerage Web Sites ranked the full-service brokerage sites in specific, critical tasks, including monitoring accounts and portfolios, managing cash and positions, and researching investments. The Keynote study announced smithbarney.com as the overall winner based on its performance across all 300 best practices, tasks and categories.
Morgan Stanley And Citi To Form Industry-Leading Wealth Management Business Through Joint Venture (pdf)
New York, January 13, 2009 — Morgan Stanley (NYSE: MS) and Citi (NYSE: C) announced they have reached a definitive agreement to combine Morgan Stanley's Global Wealth Management Group and Citi’s Smith Barney, Quilter in the UK, and Smith Barney Australia into a new joint venture to be called Morgan Stanley Smith Barney. This joint venture will be the industry’s leading wealth management business. It will not include Citi Private Bank or Nikko Cordial Securities. Read the full announcement (pdf).
1 Keynote Systems (Nasdaq "KEYN") is the global leader in on-demand test & measurement solutions for continuously improving the online experience. For over a decade, Keynote has been providing measurement data and testing capabilities that allow companies to understand and improve their customers' online and mobile experience. Keynote has four test and measurement businesses: Web performance, mobile quality, streaming & VoIP, and customer experience/UX.
Known as The Mobile and Internet Performance Authority(tm), Keynote has a market-leading infrastructure of 2,600 measurement computers and mobile devices in over 240 locations around the world. Keynote's 2,800 customers represent top Internet and mobile companies including American Express, Dell, Disney, eBay, E*TRADE, Expedia, Microsoft, SonyEricsson, Sprint, T-Mobile, Verizon, Vodafone and YouTube.
Keynote Systems, Inc. is headquartered in San Mateo, California and can be reached at www.keynote.com or by phone in the U.S. at 1-800-KEYNOTE.
For more information, please contact your Financial Advisor.