| A Short Investment & Securities Industry Glossary | i |
| Introduction | 1 |
| How to Use This Book | 3 |
| Chapter 1: Major Trends in the Investment & Securities Industry | 7 |
| 1) Investment & Securities Industry Overview | 7 |
| 2) Investment Banks are Cutting Back on Employee Count and Overhead | 10 |
| 3) Nationalization of Banks and Investment Firms Worldwide | 11 |
| 4) 2010 Reform Act Increases Regulation of Financial Industry, including Banks, Investment Companies and Insurance Firms | 11 |
| 5) Giant Mergers Change the Face of Global Banking and Investment Firms | 13 |
| 6) Investment Market Booms in China | 14 |
| 7) Asian IPOs Proliferate | 14 |
| 8) Aging Populations, Baby Boomers Create Opportunities/U.S. Pension Accounts Top $18.1 Trillion | 15 |
| 9) Employers Make 401(k) Enrollment Automatic/Broad Changes are Suggested for Retirement Savings Plans | 16 |
| 10) Investment Firms, Banks Compete for Clients in High Net Worth Households | 18 |
| 11) ETFs Expand and Take Market Share from Mutual Funds/Mutual Fund Managers Are Forced to Change | 18 |
| 12) Online Brokers Open Physical Offices/Online Trading is Free for Large Depositors | 20 |
| 13) Hedge Funds Regroup, Change Strategy and Sometimes Lower Fees | 20 |
| 14) Private Equity Firms Focus on Growing Their Portfolio Companies and Making Alternative Investments | 22 |
| 15) Annuity Account Managers Create New Product Strategies | 23 |
| 16) Credit Default Swaps (CDS) and Derivatives Soar into the Trillions of Dollars | 23 |
| 17) Exchanges Must Provide Fast, Inexpensive Services in Order to Survive/High Speed Trading | 25 |
| 18) Investment Product Facts | 26 |
| Chapter 2: Investment & Securities Industry Statistics | 35 |
| U.S. Investment & Securities Industry Overview | 36 |
| Stock Market Performance Indices, U.S.: 1985-Nov. 2011 | 37 |
| Stock Market Volume, U.S.: 1985-Nov. 2011 | 38 |
| Value Traded on the NYSE & NASDAQ Stock Exchanges: 1985-Nov. 2011 | 39 |
| Common Stock Prices & Yields, U.S.: 1985-2010 | 40 |
| Sales, Profits & Stockholders' Equity, All Manufacturing Corporations, U.S.: 1980-Q3 2010 | 41 |
| Components of U.S. Money Stock Measures: 1970-2010 | 42 |
| Treasury Securities Outstanding by Kind of Obligation, U.S.: Selected Fiscal Years: 1980-2010 | 43 |
| Estimated Ownership of U.S. Treasury Securities: 2002-Sept. 2010 | 44 |
| Public Debt Securities Held by Private Investors, U.S.: Fiscal 1975-2010 | 45 |
| Average Interest Rates of 3-Month & 10-Year U.S. Treasuries: 1985-Dec. 2011 | 46 |
| Time Deposits & Savings Deposits of Individual Retirement Accounts (IRAs), U.S.: Fiscal 2002-Q2 2011 | 47 |
| Retirement Benefits in the U.S.: Access, Participation and Take-Up Rates, March 2011 | 48 |
| Employment in the Investment & Securities Industry, U.S.: 2005-Oct. 2011 | 49 |
| Securities, Commodity Contracts & Other Financial Investment Activities, Estimated Revenue for Employer Firms, U.S.: 2003-2009 | 50 |
| Securities, Commodity Contracts & Other Financial Investment Activities, Estimated Sources of Revenue for Employer Firms, U.S.: 2007-2009 | 51 |
| Chapter 3: Important Investment & Securities Industry Contacts | 53 |
| (Addresses, Phone Numbers and Internet Sites) | |
| Chapter 4: THE INVESTMENT 350: | |
| Who They Are and How They Were Chosen | 81 |
| Industry List, With Codes | 82 |
| Index of Companies Within Industry Groups | 83 |
| Alphabetical Index | 91 |
| Index of Headquarters Location by U.S. State | 94 |
| Index of Non-U.S. Headquarters Location by Country | 98 |
| Index by Regions of the U.S. Where the Firms Have Locations | 99 |
| Index of Firms with International Operations | 109 |
| Individual Data Profiles on Each of THE INVESTMENT 350 | 113 |
| Additional Indexes | |
| Index of Hot Spots for Advancement for Women/Minorities | 458 |
| Index by Subsidiaries, Brand Names and Selected Affiliations | 460 |