Comparative financial results are charted below:
Member Firms Dealing with the Public
($ in millions)
| 4th Qtr. 2006 |
4th Qtr. 2005 |
3rd Qtr. 2006 |
Y-T-D 2006 |
Y-T-D 2005 |
|
| Revenues | $93,382* | $66,147 | $81,760 | $331,340* | $229,820 |
| Expenses | $85,817* | $63,850 | $77,697 | $310,443* | $220,373 |
| After-Tax Profit/Loss | $4,917 | $1,493 | $2,641 | $13,583 | $6,141 |
| After-Tax Annualized Return on Capital |
9.5% | 3.2% | 5.1% | 6.7% | 3.4% |
| Assets | $5,019,450* | $4,211,634 | $4,838,611 | $5,019,450* | $4,211,634 |
| Capital & Subordinations | $206,553 | $189,586 | $207,613 | $206,553 | $189,586 |
| Commission Revenues | $6,481 | $6,571 | $6,042 | $26,666 | $25,611 |
| Number of Firms Reporting | 204 | 217 | 206 | 224 | 232 |
| Number of Profitable Firms | 134 | 134 | 133 | 158 | 147 |
| Aggregate Pre-Tax Earnings of Profitable Firms |
$7,704 | $3,979 | $4,613 | $22,740 | $13,813 |
| Number of Unprofitable Firms | 70 | 83 | 73 | 66 | 85 |
| Aggregate Pre-Tax Loss of Unprofitable Firms |
(139) | (1,682) | (550) | (1,843) | (4,366) |
* Record level
Note:
This data is from NYSE member firms that conduct business with the public. The category generally also includes firms that trade primarily for their own account, but excludes specialists. All firms are registered broker-dealers with the SEC. Revenues are predominantly derived from investment banking, trading, commissions and interest.
Since the NYSE member firm community is composed of corporations and partnerships, after-tax earnings are presented on a pro-forma basis that assumes a corporate tax rate of 35 percent.
NYSE Member Firms Dealing with Public (Financial Summary) (pdf format)
Statement of Income (Loss) and Expense Unconsolidated (pdf format)
