Archived Tables

Current Table

FINANCIAL DATA OF NYSE-REPORTING FIRMS, 2011 (1)

($ millions)

Revenue
Commissions	$25,673
Trading gain (loss)	1,540
Investment account gain (loss)	107
Underwriting	18,295
Margin interest	4,910
Mutual fund sales	5,530
Asset management fees	25,682
Research	67
Commodities	2,551
Other revenue related to the securities business	48,093
Other revenue	14,836
Total revenue	$147,283

Expenses
Total compensation	$68,024
Registered representative compensation	28,705
Clerical employee compensation	37,767
Total floor costs	8,891
Communications expense	5,165
Data processing (EDP) costs	2,370
Occupancy and equipment costs	5,497
Promotional costs	1,203
Interest expense	18,689
Losses from error accounts and bad debts	276
Regulatory fees and expenses	1,432
Nonrecurring charges	153
Other expenses	27,835
Total expenses	$139,536
Pretax net income (loss)	$7,747

(1) New York Stock Exchange reporting firms doing public business in the United States.

Source: NYSE Euronext; Securities Industry and Financial Markets Association.

SECURITIES INDUSTRY INCOME STATEMENT, 2008 (1)

($ millions)

Revenue
Commissions	$58,068
Trading gain (loss)	-64,977
Investment account gain (loss)	-1,760
Underwriting revenue	18,789
Margin interest	18,414
Mutual fund sale revenue	22,854
Fees, asset management	32,891
Research revenue	81
Commodities revenue	5,305
Other revenue related to the securities business	141,478
Other revenue	59,386
Total revenue	$290,541

Expenses
Total compensation	$96,764
Registered representative compensation	36,337
Clerical employee compensation	39,687
Total floor costs	25,753
Communications expense	6,099
Occupancy and equipment costs	6,928
Promotional costs	2,520
Interest expense	124,504
Losses from error accounts and bad debts	1,286
Data processing costs	3,588
Regulatory fees and expenses	2,004
Nonrecurring charges	723
Other expenses	54,487
Total expenses	$324,668
Pretax net income/loss	-$34,126

(1) All broker-dealers doing a public business in the United States.

Source: Securities Industry and Financial Markets Association.

FINANCIAL DATA OF NYSE-REPORTING FIRMS, 2009 (1)

($ millions)

Revenue
Commissions	$25,575
Trading gain (loss)	29,539
Investment account gain (loss)	607
Underwriting	20,062
Margin interest	3,574
Mutual fund sales	4,998
Asset management fees	16,532
Research	63
Commodities	2,348
Other revenue related to the securities business	53,156
Other revenue	31,618
Total revenue	$188,072

Expenses
Total compensation	$68,079
Registered representative compensation	24,017
Clerical employee compensation	35,728
Total floor costs	7,549
Communications expense	4,866
Occupancy and equipment costs	5,332
Promotional costs	839
Interest expense	19,518
Losses from error accounts and bad debts	348
Data processing (EDP) costs	2,269
Regulatory fees and expenses	1,406
Nonrecurring charges	90
Other expenses	23,105
Total expenses	$126,638
Pretax net income (loss)	$61,434

(1) New York Stock Exchange members doing public business.

Source: Securities Industry and Financial Markets Association.

FINANCIAL DATA OF NYSE-REPORTING FIRMS, 2010 (1)

($ millions)

Revenue
Commissions	$25,002
Trading gain (loss)	16,678
Investment account gain (loss)	375
Underwriting	20,344
Margin interest	3,796
Mutual fund sales	5,307
Asset management fees	20,646
Research	73
Commodities	2,577
Other revenue related to the securities business	50,649
Other revenue	14,322
Total revenue	$159,767

Expenses
Total compensation	$66,858
Registered representative compensation	26,189
Clerical employee compensation	39,224
Total floor costs	8,073
Communications expense	4,985
Data processing (EDP) costs	2,372
Occupancy and equipment costs	5,540
Promotional costs	1,022
Interest expense	19,568
Losses from error accounts and bad debts	250
Regulatory fees and expenses	1,338
Nonrecurring charges	62
Other expenses	24,607
Total expenses	$134,674
Pretax net income (loss)	$25,092

(1) New York Stock Exchange reporting firms doing public business in the United States.

Source: NYSE Euronext; Securities Industry and Financial Markets Association.