| 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) Government Bail Outs and Increased Control of Banks and Investment Firms | 10 |
| 3) Increased Regulation and Government Scrutiny Loom Over the Financial Industry | 10 |
| 4) Giant Mergers Change the Face of Global Banking and Investment Firms | 11 |
| 5) Aging Populations, Baby Boomers Create Opportunities/U.S. Pension Accounts Top $14 Trillion | 11 |
| 6) Employers Make 401(k) Enrollment Automatic/Broad Changes are Suggested for Retirement Savings Plans | 13 |
| 7) Investment Firms, Banks Compete for Clients in High Net Worth Households | 15 |
| 8) ETFs Expand and Take Market Share from Mutual Funds/Fund Operators Are Forced to Change | 15 |
| 9) Online Brokers Open Physical Offices/Online Trading is Free for Large Depositors | 17 |
| 10) Hedge Funds Regroup, Change Strategy and Sometimes Lower Fees | 17 |
| 11) Private Equity Firms Stumble on Tighter Credit | 19 |
| 12) Annuity Account Managers Create New Product Strategies | 20 |
| 13) Credit Default Swaps (CDS) and Derivatives Soar into the Trillions of Dollars | 21 |
| 14) Credit Card Issuers and Debt Holders Face a Difficult Market/Consumers Pay Down Debts and Charge Less | 22 |
| 15) Exchanges Must Provide Fast, Inexpensive Services in Order to Survive/High Speed Trading | 23 |
| 16) Investment Product Facts | 24 |
| Chapter 2: Investment & Securities Industry Statistics | 33 |
| U.S. Investment & Securities Industry Overview | 34 |
| Stock Market Performance Indices, U.S.: 1985-Nov. 2009 | 35 |
| Stock Market Volume, U.S.: 1985-Oct. 2009 | 36 |
| Value Traded on the NYSE & NASDAQ Stock Exchanges: 1985-Oct. 2009 | 37 |
| Common Stock Prices & Yields, U.S.: 1980-Nov. 2008 | 38 |
| Sales, Profits & Stockholders' Equity, All Manufacturing Corporations, U.S.: 1980-June 2008 | 39 |
| Components of U.S. Money Stock Measures: 1970-Dec. 2009 | 40 |
| U.S. Mutual Fund Assets by Type of Fund: 1985-Oct. 2009 | 41 |
| U.S. Mutual Fund Net Sales: 1985-Oct. 2009 | 42 |
| Treasury Securities Outstanding by Kind of Obligation, U.S.: Fiscal 1978-2009 | 43 |
| Estimated Ownership of U.S. Treasury Securities: 1999-Sept. 2008 | 44 |
| Public Debt Securities Held by Private Investors, U.S.: Fiscal 1970-2008 | 45 |
| Average Interest Rates of 3-Month & 10-Year U.S. Treasuries: 1985-Nov. 2009 | 46 |
| Time Deposits & Savings Deposits of Individual Retirement Accounts (IRAs), U.S.: Fiscal 2000-Q2 2009 | 47 |
| Employment in the Investment & Securities Industry, U.S.: 2003-Nov. 2009 | 48 |
| Chapter 3: Important Investment & Securities Industry Contacts | 49 |
| (Addresses, Phone Numbers and Internet Sites) | |
| Chapter 4: THE INVESTMENT 350: | |
| Who They Are and How They Were Chosen | 75 |
| Industry List, With Codes | 76 |
| Index of Rankings Within Industry Groups | 77 |
| Alphabetical Index | 86 |
| Index of U.S. Headquarters Location by State | 89 |
| Index of Non-U.S. Headquarters Location by Country | 93 |
| Index by Regions of the U.S. Where the Firms Have Locations | 95 |
| Index of Firms with International Operations | 104 |
| Individual Profiles on Each of THE INVESTMENT 350 | 107 |
| Additional Indexes | |
| Index of Hot Spots for Advancement for Women/Minorities | 460 |
| Index by Subsidiaries, Brand Names and Selected Affiliations | 462 |