Investment Banking and Financial Services Industry
Investment Banking and Financial Services Industry
Researching the Financial Services Industry
Introducing the Industry – Books
Industry Trends - Magazines, Journals, Newsletters
Industry Data – Statistical Yearbooks, Factbooks and Web sites
Industry Terminology - Dictionaries
Financial Services Career Information
Exploring Careers - Books about Financial Careers
Targeting Companies -
Career Options - Job Banks
Financial Institution Profiles
Databases for Financial Analysis
Regulatory Filings and Corporate Financial Data
Researching the Financial Services Industry
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Investment Banking
Bonfire of the Vanities
By Tom Wolfe
Call number: PS3573 .O526 B6 1988
The Business of Investment Banking
By K. Thomas Liaw
Call number: HG4534 .L528 2006
Liar’s Poker
By Michael Lewis
Call number: HG4928.5 .L48 1990
Monkey Business: Swinging through the Wall Street Jungle
By John Rolfe
Call number: HG4928.5 .R655 2000
The Predators’ Ball: The junk bond raiders and the man who staked them
By Connie Bruck
Call number: HD2746.5 .B78 1988
For more books, search CUNY+ using these subjects: Investment banking; Banks and banking
Mergers and Acquisitions
Big Deal: The battle for control of America’s leading corporations
By Bruce Wasserstein
Call number: HD2746.55 .U5W37 1988
Deals from Hell: M & A lessons that rise above the ashes
By Robert F. Bruner
Call number: HG4028 .M4 B78 2005
Deals of the Century: Wall Street, mergers, and the making of modern America
By Charles R. Geisst
Call number: HG4028 .M4 G45 2004
For more books, search CUNY+ using these subjects: Consolidation and merger of corporations; Corporate reorganizations; Leveraged buyouts; Joint ventures; Strategic alliances (Business); Tender offers (Securities)
Trading
Inside the Yield Book
By Sidney Homer
Call number: HG4936 .H65 2004
My Life as a Quant
By Emanuel Derman
Call number: HG4621 .D47 2004
Stories from a Goldman Sachs equity-derivatives trader.
The Biggest Game of All
By Leo Hindery
Call number: HD 58.6 .H56 2003
The Making of a Stockbroker
By Edwin Lefevre
Call number: HG4621 .L4 1994
Stock Market Wizards
By Jack D. Schwager
Call number: HG4621 .S286 2001
Interviews with America's top stock traders
For more books, search CUNY+ using these subjects: Stockbrokers; Securities Industry; Day trading (Securities); Floor Traders (Finance)
Business and Finance
Barbarians at the Gate: The rise and fall of RJR Nabisco
By Bryan Burrough
Call number: HD2796 .R57 B87 1990
Video DVD 129
Goldman Sachs: The culture of success
By Lisa Endlich
Call number: HG4930.5 .E53 2000
One Up on Wall Street
By Peter Lynch
Call number: HG4521 .L864 2000
Stories from Lynch’s days at Fidelity Management
Other People's Money: The corporate mugging of America
By Nomi Prins
Call number: HG4930.5 .P75 2004
When Genius Failed: The rise and fall of Long-term Capital Management
By Roger Lowenstein
Call number: HG4930 .L69 2000
For more books, search CUNY+ using these subjects: Wall Street; New York Stock Exchange; Stock exchanges; Speculation
Security Analysis
Fischer Black and the Revolutionary Idea of Finance
By Perry Mehrling
Call number: HG172 .F565M44 2005
A history of the development of quantitative finance
Fooled by Randomness
By Taleb Nassim
Call number: HG 4521 .T36 2001
Franchise Value: A modern approach to security analysis /
By Martin Leibowitz
Call number: HG4028 .V3 L4437 2004
Available online in ebrary
Graham and Dodd’s Security Analysis
By Benjamin Graham
Call number: HG 4529 .G7 1988
The New Money Masters
By John Train
Call number: HG 172 .A2 T73 1989
Investment strategies of Soros, Lynch, Steinhardt, and others
The Warren Buffett Portfolio
By Robert G. Hagstrom
Call number: HG 4521 .h327 1999
Value Investing
By Bruce Greenwald
Call number: HG4529 .V35 2001
From Graham to Buffett
For more books, search CUNY+ using these subjects: Going public (Securities); Investments; Stocks; Investment analysis; Corporations – Valuation; Stock price forecasting; Junk bonds
Industry Trends - Magazines, Journals, and Newsletters
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Investment Banking
Investment Dealers Digest
Full-text available in Factiva, ABI Inform, Business Source Premier, and LexisNexis
Weekly news magazine covering the U.S. investment banking industry. Each issue includes league tables, rankings, and lists of new debt and equity issues.
Institutional Investor
Full-text available in Factiva, ABI Inform, and Business Source Premier
Periodical Shelves, 3rd Floor from 1968-
Monthly magazine profiling companies, deals and dealmakers in corporate finance. The October issue features the “All-American Research Team,” a ranking of Wall Street analysts.
Corporate Financing Week
Full-text available in Factiva
Essential newsletter reporting on people, companies and deals happening on Wall Street.
Finance
Euromoney
Full-text available in Factiva, ABI Inform, and Business Source Premier
Magazine of international corporate finance and banking. Features deal profiles.
Global Finance
Full-text available in Factiva, Business Source Premier, and LexisNexis
Coverage of trends in international finance for corporate executives.
Journal of Finance
Full-text available in Business Source Premier, JSTOR, and IngentaConnect
Periodical Shelves, 3rd Floor from 1971-
Premier scholarly journal for research in all areas of finance.
Journal of Fixed Income
Full-text available in ABI Inform and Business Source Premier
Periodical Shelves, 3rd Floor from 1998-
Scholarly journal devoted to fixed income research.
Mergers and Acquisitions
Buyouts
Full-text available in ABI-Inform
Bi-weekly newsletter covering the leveraged buyout market.
TheDeal.com
The Daily Deal
Full-text available in ABI-Inform
Daily coverage of activity in the M&A and venture capital markets.
Mergers & Acquisitions
Full-text available in ABI-Inform
Periodical Shelves, 3rd Floor from 1965-
Articles, case studies and lists of deals pending and completed.
Venture Capital Journal
Full-text available in Business Source Premier
Articles and statistical analysis of the venture capital industry.
Securities Markets
Equities Magazine
Full-text available in Business Source Premier
Articles focus on companies and equity market trends.
OnWallStreet
Full-text available in Factiva, LexisNexis and Business Source Premier
Monthly magazine for financial advisors and broker-dealers.
Securities Industry News
Full-text available in Factiva
Weekly coverage of securities operations with emphasis on technology.
Traders Magazine
Full-text available in Factiva
Monthly magazine features analysis of the stock and bond markets.
Wall Street and Technology
Full-text available in Factiva, and LexisNexis
Covers technology developments in banking, trading and compliance.
Investment Management
Financial Analysts Journal
Full-text available in Factiva and Business Source Premier
Periodical Shelves, 3rd Floor from 1970-
Research articles on investment management and security analysis including derivatives and alternative investments. A publication of the CFA Institute.
Journal of Portfolio Management
Full-text available in ABI-Inform
Periodical Shelves, 3rd Floor from 1984-
Scholarly articles on all aspects of portfolio management.
Pensions and Investments
Full-text available in LexisNexis, ABI Inform and Business Source Premier
Features annual rankings of the top pension funds and money managers.
Risk
Periodical Shelves, 3rd Floor from 1988-
Covers risk management, derivatives and structured products.
The Secured Lender
Full-text available in Factiva and Business Source Premier
For the asset-based financial services industry.
Newspapers
American BankerFull-text available in Factiva and Business Source Premier
Barrons
Full-text available in Factiva and Proquest Newsstand
Reserve Desk, 2nd Floor – Current issues (Latest two months)
Bond Buyer
Full-text available in Factiva and Business Source Premier
Financial Times
Full-text available in Factiva, LexisNexis and Proquest Newsstand
Reserve Desk, 2nd Floor – Current issues (Latest two months)
Investor’s Business Daily
Full-text available in Factiva and LexisNexis
Reserve Desk, 2nd Floor – Current issues (Latest two months)
Wall Street Journal
Full-text available in Factiva and Proquest Newsstand
Reserve Desk, 2nd Floor – Current issues (Latest two months)
Industry Data, Statistics, Analysis
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Federation of European Securities Exchanges
“Statistics and Market Research” provides monthly and annual historical data from Europe’s stock, bond and derivatives markets. The structure of the European markets is explained in the Share Ownership Survey.
Financial Services Factbook
Analysis with extensive statistics on financial service sectors including banks, insurance, asset management, finance companies, mortgage finance and securities.
Handbook of World Stock, Derivative and Commodity Exchanges
REF HG4551 .h519 (2003 edition)
"comprehensive" directory of exchanges from over 100 countries. Covers history and structure, lists major indices, and names the futures and options contracts on offer.
Mergerstat Review
Stacks HD2746.5 .M48 (1986-94 only); Also SIBL
Annual statistical review of M&A activity involving US companies. Includes industry analysis and shows trends by seller, type, and deal size.
Securities Industry Employment
Quarterly report on New York state, New York city and national
employment trends in the securities industry.
Securities Industry Fact Book
REF HG4621 .S43
Historical data on capital markets, market activity, the securities industry and savings and investment activity in the United States. Published annually by the Securities Industry Association.
Stocks, Bonds, Bills and Inflation - SBBI Yearbook
REF HG4501 .S7949
Ibbotson’s collection of historical market return data from 1926 to the present.
U.S. Securities Industry Financial Results
Industry data collected by the Securities Industry Association. Surveys all U.S. broker-dealer operations of all NASD and New York Stock Exchange member firms.
Member exchanges provide comprehensive indicators of stock, bond and derivatives market activity. (WFE was formerly FIBV, International Federation of Stock Exchanges).
World Stock Exchange Fact Book
REF HG4551 .W6
Annual volume of historical statistics from 45 exchanges. Includes stock index values, trading volume, market capitalization and other performance indicators.
Industry Terminology - Dictionaries
Bloomberg Financial Glossary
Over 8,000 financial terms defined. Compiled by Campbell R. Harvey, the J. Paul Sticht Professor of International Business at Fuqua School of Business, Duke University.
The Complete Words of Wall Street
By Allan H. Pessin
Call number: REF HG4531 .P46 1991
Finance terms defined by a Wall Street practitioner.
Investopedia
Web site with an excellent dictionary of investment terms. Includes tutorials, a simulated trading center, and articles on all aspects of investing.
Investor Stock Glossary
http://www.trading-glossary.com/i0288.asp
Brief definitions of common investment terms provided by the Investment Company Institute.
InvestorWords
One of the largest online investment glossaries with definitions that link to related terms and research articles.
NASD Glossary of Terms
Definitions of the most commonly used investor terminology.
Financial Services Career Information
Exploring Careers - Books
Heard on the Street: Quantitative questions from Wall Street job interviews
By Timothy Falcon Crack
Call number: HF5549.5 .I6C73 2004
Questions on logic, financial economics, and statistics from actual Wall Street job interviews. All questions include solutions and advice.
Vault Career Guide to Investment Banking
By Tom Lott
Call number: REF HG1616 .J5 L67 2005
Vault Career Guide to Investment Management
By Andrew Schlossberg
Call number: Reserve HG4621 .S35 2002
Vault Guide to Finance Interviews
By D. Bhatawedekhar
Call number: Reserve HG173 .B479 2005
Vault Guide to the Top 50 Banking Employers
By Tom Loosvelt
Call number: Reserve HG4534 .V38 2005
Vault Guide to the Top Financial Services Employers
By Derek Loosvelt
Call number: Reserve HG173 .L66 2004
Targeting Companies – Directories and Associations
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Directories of Securities Firms
Security Dealers of North America
Available in Standard and Poor’s NetAdvantage
Address, phone numbers and names of officers for all broker’s offices including branches. Search by company name, officer’s name, city, state or zip code.
Corporate Finance Sourcebook
Index Table 5B 2nd Floor HG4057 .A1565
The Sourcebook is a directory of companies operating in many financial services sectors including commercial finance and factoring, leasing, cash management, and venture capital. Each corporate profile lists officers and (often) department heads, with their telephone numbers.
Securities Industry Yearbook
Index Table 5B 2nd Floor HG4621 .S44
This annual directory of members of the Securities Industry Association includes names of senior management and heads of departments of retail broker-dealers, investment banks, mutual fund companies and other securities firms. Also includes industry statistics and rankings.
NASD List of Members
The membership list of NASD is online in the NASD Manual and includes name and addresses only.
Directories of Financial Services Organizations
Thomson/Polk North American Financial Institutions Directory
Index Table 5B 2nd Floor HG1536 .P6353x
A comprehensive directory of banks and financial institutions in the United States. Arranged by state and city.
FDIC Institutions Directory
Provides both financial and demographic data for all FDIC-insured banks and thrift companies. Includes bank holding companies and all their offices and branches. Search for banks by size, location or financial criteria.
Index Table 5B 2nd Floor HG4509 .M56
A comprehensive directory of U.S. pension funds. Lists investment management firms in each state as well as international investment service companies. Includes a ranking of firms by assets under management.
State of New York Banking Department
The Banking Department regulates many bank and financial services companies in the state of New York. The list of these "Supervised Institutions" (with their mailing addresses) includes money transmitters, sales finance companies, premium finance companies, licensed lenders and foreign bank branches.
Available at SIBL-Science, Industry and Business Library at 34th and Madison Ave.
Directory of M&A Intermediaries – B. Altman Desk HD2746.5 .I573
Directory of Registered Investment Advisors – McGraw Desk HG4907 .D53
Nelson’s Directory of Investment Managers – McGraw Desk HG4907 .N44
Euromoney Foreign Exchange Handbook – HG3851 .E97
Financial Yellow Book – McGraw Desk HG65 .F52
Galante’s Venture Capital and Private Equity Directory – McGraw Desk HG4961 .V36
Hedge/MAR – McGraw Desk HG6001 .M37
Nelson Information’s Directory of Investment Research – McGraw Desk HG4907 . N43
PaineWebber Euromoney Capital Markets – B. Altman Desk HG3851 .h54
Pratt’s Guide to Private Equity Sources - McGraw Desk HG64 .P73
Associations
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CFA Institute
A global professional association that is concerned with ethical issues. Sets Standards of Practice and offers the Chartered Financial Analyst (CFA) certification program. Provides research for the investment banking industry.
Commercial Finance Association
A membership association for those working in asset-based financial services such as factoring, secured lending and commercial finance. Their College Awareness Program page lists career opportunities in each state. Their member roster is available in PDF format and in a directory searchable by type of financial service and state.
Financial Industry Regulatory Authority (FINRA)
The largest non-government regulator of securities firms doing business in the U.S, FINRA in 2007 assumed the member regulatory functions of the NASD and the NYSE. The FINRA BrokerCheck provides background, status and disciplinary history of firms and brokers.
Investment Company Institute (ICI)
National organization of SEC-registered mutual funds and investment companies. Publishes industry data covering mutual funds, closed-end funds, exchange traded funds and unit investment trusts. Publishes the Investment Company Factbook.
National Futures Association Self-regulating body that oversees the commodity futures industry.
North American Securities Administrators Association (NASAA)
Professional organization of state securities agencies. Lists security regulators by region. Concerned with blue-sky guidelines.
Securities and Exchange Commission (SEC)
Federal agency that regulates the securities industry in the United States. Provides EDGAR, a database of corporate annual reports and regulatory filings.
SIFMA: Securities Industry and Financial Markets Associations
Formed by a merger between The Securities Industry Association and The Bond Market Association, SIFMA provides news, market research, statistics and regulatory information about the securities industry and capital markets in the United States and Europe. The SIFMA Member Directory provides links to member firms.
Career Options - Job Banks
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Bankjobs.com
A website for jobs at banks and non-bank financial institutions. Search jobs by category, location or keyword, or browse jobs by employer. Register for an account and post your resume.
Bloomberg
Available in the Subotnick Financial Services Center
To get to the job listings in Bloomberg, type “JOBS” and hit the GO key. Search the list by title or location.
Directory of Executive Recruiters
Reference 2nd Floor - HF 5549.5 .R44 D58 (latest edition only)
This book lists recruiters in many industries including investment banking, commercial banking, venture capital, securities and commodity brokers and other financial services.
Glocap
Glocap is an executive recruiter specializing in jobs in the investment banking, venture capital, private equity and financial consulting industries. Search by job practice areas and location. Their “News” features articles on job trends and salary issues.
Lipper HedgeWorld Employment
Features jobs in the hedge fund industry including sales, trading, research, finance, quant, and risk management. Search by company, key word, or location (including New York City and Stamford). Job seekers must register.
National Association of Investment Professionals
The NAIP is a trade association for professionals who hold Series 7, 63, or 65 licenses. Their referral networks and recruiting services are limited to members.
National Banking & Financial Services Network
The National Banking & Financial Services Network is an association of independently owned recruiting firms specializing in the financial services market. They offer a Web site of jobs listed by state or job specialty. Registration is required.
New York Society of Security Analysts (NYSSA)
NYSSA offers student memberships with access to many “Career Development” opportunities as well as the NYSSA Jobs Network. They sponsor the annual Investment Research Challenge.
SIFMA’s Career Center
An extensive career center is provided by SIFMA, the key professional association for financial professionals. Post resumes or create an account to manage job alerts. View lists of current job openings by state or by job type. Read about core competencies and career paths.
Security Traders Association
Security Traders Association of New York
Provides a members-only list of “Job Openings” for equity traders and other trading- and financial-related professionals in the New York metropolitan area.
Financial Institution Profiles
Databases for Financial Analysis
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Bloomberg
Available in the Subotnick Financial Services Center
Bloomberg provides real-time business and financial markets news from around the world. It covers the commodity, currency, equity, municipal and bond markets. It includes indicative and fundamental company data and historical prices.
Factiva
Factiva, one of the most comprehensive business news databases, features news from the Dow Jones and Reuters wire services, the Wall Street Journal, Barron’s and more than 9,000 other sources in English and 21 other languages.
I/B/E/S
I/B/E/S, in collaboration with First Call, provides analysts' estimates of projected earnings, cash flow, dividends, and other financial items for U.S. and international companies. Actual and forecasted estimates are available in summary form (the median and mean estimate) and in detail for individual analysts. Buy-sell-hold recommendations are also provided. (Part of WRDS service).
Investext Plus
Investext is a collection of company and industry reports (in PDF format) from over 500 Wall Street investment banks and international brokerage firms. The reports feature financial analysis and often provide forecasts and earnings estimate information. Search by company name or choose an industry from the pull down menu.
ISI Emerging Markets
ISI is a country-focused database with financial news in English and native languages for 35 emerging market countries. It includes company profiles, analysts’ research reports, and economic data from central banks, government agencies and independent consulting firms.
Morningstar
Morningstar provides in-depth financial analysis and Morningstar recommendations for 1,000 stocks and 2,000 mutual funds.
Available in the Subotnick Financial Services Center.
Reuters is a real-time news and market data service designed for financial professionals. It covers global markets in stocks, bonds, currencies, and commodities and features charting and graphing capabilities for both real-time and historical data. Corporate profiles cover companies trading in markets around the world.
SDC
Available at Reference Desk 2nd Floor
The SDC Mergers & Acquisitions database provides details of mergers, acquisitions, and joint ventures. Search by company name for specific deals; select deal characteristics to create lists of deals of comparable size or value; analyze industry activity; or create league tables of advisory activity.
The SDC New Issues database covers current and historical debt and equity financing. It covers the U.S. markets in depth and domestic markets in selected countries in Europe, Asia, and the Americas. Screen by issuer, deal characteristics, industry, or underwriter.
Social Science Research Network
The Social Science Research Network (SSRN) is a depository of social science research containing abstracts of scholarly working papers and forthcoming articles and a collection of over 104,700 downloadable full text documents.
SSRN is composed of a number of specialized research networks: Accounting Research Network, Economics Research Network, Financial Economics Network, Entrepreneurship Research and Policy Network, Information Systems Network, Legal Scholarship Network, Management Research Network, and the Social Insurance Research Network. (Each user must create a username and password).
Eleven S&P investor information products are available on the NetAdvantage platform including the Bond Guide, Corporation Records, Dividend Record, Earnings Guide, Industry Surveys, Mutual Fund Reports, The OUTLOOK, Register of Corporations, Directors and Executives, Security Dealers of North America, Stock Guide, and Stock Reports.
Standard & Poor’s Stock Reports
Available in Standard and Poor's NetAdvantage
The S&P Stock Reports are the industry standard for U.S. public company profiles. They are known for their excellent business summaries. Reports also include a brief analyst commentary, key financials and ratios, peer group analysis, Wall Street consensus estimates and the industry outlook.
Thomson ONE Analytics
Available in the Subotnick Financial Services Center
This database includes analysts’ research reports and morning call notes. It also provides real-time consensus earning estimates and historical EPS data for companies in the United States and trading globally.
Value Line
Also Reserve Desk 2nd floor - HG4501.V26
Value Line's main section, Ratings & Reports, features company reports grouped by industry sectors. Each report consists of one page of financial analysis with over 10 years of historical data including sales, profits, and earnings per share. Reports include share price projections and a financial forecast.
Wall Street Journal
The Wall Street Journal, the major business newspaper in the U.S., contains business and financial news, company profiles, feature reporting, and regular columns. It is available in several databases including one that digitally reproduces every issue from 1889 through1989 and includes all photos, graphics, advertisements, and text.
The full text of the Wall Street Journal from 1984 to the current day is available through Factiva (launch the Factiva database, then select "Source").
Wall Street Transcript
Available through Factiva
The Wall Street Transcript is a monthly magazine with regular features that include interviews with CEO’s, industry roundtables, interviews with asset managers and analysts, and “Off the Record” comments. The industry roundtables provide analysts’ opinion and recommendations for about 60 industries in the course of a year.
WRDS (Wharton Research Data Services)
The WRDS portal provides access to many data sets in finance, accounting, and banking. These include AuditAnalytics, CRSP, COMPUSTAT, Dow Jones Averages, Eventus, FDIC, IRRC, PHLX, NYSE TAQ, Thomson Financial Insiders Filings and Thomson I/B/E/S.
Regulatory Filings and Corporate Financial Data
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For Public Companies
EDGAR The SEC Web site is the official home of EDGAR, the corporate filings database. Search by company name or SIC code. Real time filings are in “Latest Filings” or choose the “Historical EDGAR Archives” for reports filed since 1993. Reports include all exhibits and are downloadable.
EdgarOnline I-Metrix
Edgar Online's I-Metrix provides SEC filings, ownership data, earnings estimates and company people. Locate specific filings by type, IPO, or topic. Analytics provide financial statement data in eXtensible Business Reporting Language (XBRL) which tags each line item of data for export to Excel. Use XBRL for interactive model building and comparative analysis across companies, industries or trading exchange. (Requires download of I-Metrix Excel Add-In and Excel Templates).
EDGARScan
EDGARScan, a product of PriceWaterhouseCoopers, was developed to offer users a way to compare company financial data from company filings. PWC normalizes company financials so that data items are comparable across companies. All financials can be downloaded into spreadsheets. EDGARScan also has an “Advanced Search” form to search for words or phrases in documents or filter reports by industry, SIC code, type of filing, or date or date range. All reports have hyperlinked tables of contents.
SECinfo
SECinfo, a database of EDGAR filings, is free to registered users on the Web. It offers text searching of company reports, either “the recent reports or all filings” of a particular company. Reports have hyperlinked table of contents and financials can be downloaded into spreadsheets. The home page offers direct access to recent filings by type (10-K, 10-Q, 8-K, etc.) as well as lists of today’s filings, yesterday’s filings, or the most recent filings. SECinfo also parses all 8-K filings so that users can find companies that have announced mergers, auditor changes, bankruptcy, de-listing, new management, or other significant events.
Thomson Research
This database of SEC filings and annual reports covers both U.S. and international companies. There are various options for printing and downloading including selecting parts of the reports or downloading financials to a spreadsheet. The reports can be screened by date, document type, registration type, SIC code, state, country or stock exchange.
For Private Companies
D & B $Million Dollar Database
Reference 2nd Floor - Index Table 5B - HF5025.M54
This directory provides basic profiles of private, public and subsidiary companies in North America. Over 1.4 million companies are included that have sales greater than $ three million or more than 50 employees. The database can be used to compile a list of comparable companies based on their sales, industry and geographic location. The print edition of the directory profiles the top 50,000 companies.
For Banks and Thrift Companies
Call Report and Thrift Financial Report
The FDIC Web site has a searchable database of public financial data for all FDIC insured institutions including commercial banks, savings banks and trust institutions. Reports are filed quarterly.
For Broker-Dealers
FINRA BrokerCheck
This database provides information on the professional background, status of registration/license and conduct of securities firms and registered brokers.
FOCUS Reports
Available in Thomson Research
FOCUS reports are annual reports for broker-dealers filed on Form X-17A-5 with the SEC. They provide detailed information about a firm's financial and operational status. Not all parts of the report are made public.
For Investment Advisors
Investment Advisors Public Disclosure-IAPD
Investment advisors that manage $25 million or more in client assets must register with the SEC and are required to file ADV reports. Form ADV contains information about investment adviser firms and their business operations. Disclosure about any disciplinary events in the last ten years that involve the adviser and its key personnel are required in Form ADV.
For Mutual Funds
EDGAR Mutual Funds Search
Mutual funds file quarterly reports with the SEC. A search by fund name will retrieve all filings including registration (Form N-1a, Form N-2), proxy voting records, the certified shareholder reports, and prospectuses.
Louise Klusek
Assistant Professor
December 28, 2006