|
| related topics |
| {system, service, information} |
| {loss, insurance, financial} |
| {gas, price, oil} |
| {financial, litigation, operation} |
| {regulation, change, law} |
| {competitive, industry, competition} |
| {tax, income, asset} |
| {acquisition, growth, future} |
| {loan, real, estate} |
| {product, market, service} |
|
|
NATURE OF BUSINESS -- THE PARTNERSHIP IS IN THE SECURITIES INDUSTRY, WHICH IS SUBJECT TO DRAMATIC AND UNPREDICTABLE SWINGS THAT HAVE HAD AND CAN HAVE A SIGNIFICANT NEGATIVE EFFECT ON REVENUES AND PROFITABILITY.
OPERATIONAL SYSTEMS -- THE PARTNERSHIP INTENDS TO UPGRADE OR REPLACE COMPONENTS OF ITS COMPUTER AND COMMUNICATIONS SYSTEMS IN THE NEAR FUTURE WHICH WILL BE COSTLY AND COULD LEAD TO DISRUPTIONS; ANY SUBSTANTIAL DISRUPTION TO THESE SYSTEMS COULD LEAD TO FINANCIAL LOSS AND HARM RELATIONS WITH CLIENTS.
AND WE ARE UNABLE TO ANTICIPATE WHAT, IF ANY, IMPACT THAT CHANGE MAY HAVE ON PROFITABILITY.
BRANCH OFFICE SYSTEM -- THE PARTNERSHIP'S SYSTEM OF ONE-BROKER BRANCH OFFICES MAY EXPOSE THE PARTNERSHIP TO A GREATER RISK OF LOSS OR LIABILITY FROM THE ACTIVITIES OF THE INVESTMENT REPRESENTATIVES THAN IF A MORE TRADITIONAL OFFICE SYSTEM IS MAINTAINED.
COULD MATERIALLY ADVERSELY AFFECT OUR BUSINESS.
REGULATORY INITIATIVES- RECENTLY PROPOSED REGULATIONS MAY SIGNIFICANTLY ALTER OR RESTRICT THE HISTORIC BUSINESS PRACTICES, WHICH COULD NEGATIVELY AFFECT THE OPERATING RESULTS.
COMPETITION -- THE PARTNERSHIP IS SUBJECT TO INTENSE COMPETITION FOR CLIENTS AND PERSONNEL, AND MANY OF THE COMPETITORS HAVE GREATER RESOURCES.
LITIGATION -- LITIGATION SEEKING SUBSTANTIAL DAMAGES FROM SECURITIES FIRMS HAS INCREASED IN RECENT YEARS, AND IT IS EXPECTED TO CONTINUE TO INCREASE AS MARKET FLUCTUATIONS CONTINUE.
UNDERWRITING, SYNDICATE AND TRADING POSITION RISKS -- THE PARTNERSHIP ENGAGES IN UNDERWRITING ACTIVITIES, WHICH CAN EXPOSE THE PARTNERSHIP TO MATERIAL LOSSES AND LIABILITY.
RELIANCE ON ORGANIZATIONS -- THE PARTNERSHIP DEPENDS ON THIRD-PARTY ORGANIZATIONS, WHICH EXPOSES THE PARTNERSHIP TO DISRUPTION IF THEIR PRODUCTS AND SERVICES ARE NO LONGER OFFERED, SUPPORTED OR DEVELOP DEFECTS.
INTERNATIONAL EXPANSION -- THE PARTNERSHIP'S FOREIGN OPERATIONS ARE NOT YET PROFITABLE; THEY MAY REQUIRE SIGNIFICANT INFUSIONS OF CAPITAL AND MAY NEVER BECOME PROFITABLE.
CAPITAL LIMITATIONS; UNIFORM NET CAPITAL RULE -- THE UNIFORM NET CAPITAL RULE IMPOSES MINIMUM NET CAPITAL REQUIREMENTS AND COULD LIMIT THE PARTNERSHIP'S ABILITY TO ENGAGE IN CERTAIN ACTIVITIES WHICH ARE CRUCIAL TO ITS BUSINESS OR TO RETURN YOUR CAPITAL CONTRIBUTION TO YOU.
Full 10-K form ▸
|
|
| related documents |
| 815917--3/30/2007--JONES_FINANCIAL_COMPANIES_LP_LLP |
| 815917--3/28/2008--JONES_FINANCIAL_COMPANIES_LP_LLP |
| 34782--3/3/2006--1ST_SOURCE_CORP |
| 807884--2/29/2008--CASH_AMERICA_INTERNATIONAL_INC |
| 1049108--3/3/2009--DOLLAR_THRIFTY_AUTOMOTIVE_GROUP_INC |
| 1001288--2/26/2010--LEXMARK_INTERNATIONAL_INC_/KY/ |
| 1010612--3/10/2009--SYKES_ENTERPRISES_INC |
| 1056358--3/17/2008--MANNATECH_INC |
| 741390--3/23/2007--MIDWESTONE_FINANCIAL_GROUP_INC |
| 741390--3/22/2006--MIDWESTONE_FINANCIAL_GROUP_INC |
| 723531--7/16/2010--PAYCHEX_INC |
| 20286--2/27/2009--CINCINNATI_FINANCIAL_CORP |
| 1010612--3/14/2006--SYKES_ENTERPRISES_INC |
| 912382--3/14/2008--NATIONAL_BANK_OF_INDIANAPOLIS_CORP |
| 315213--2/19/2009--HALF_ROBERT_INTERNATIONAL_INC_/DE/ |
| 1085320--3/31/2006--MUZAK_HOLDINGS_LLC |
| 1085320--4/2/2007--MUZAK_HOLDINGS_LLC |
| 1085319--4/2/2007--MUZAK_HOLDINGS_LLC |
| 1049108--2/29/2008--DOLLAR_THRIFTY_AUTOMOTIVE_GROUP_INC |
| 718482--5/11/2006--EDWARDS_A_G_INC |
| 807884--2/26/2007--CASH_AMERICA_INTERNATIONAL_INC |
| 39911--3/28/2006--GAP_INC |
| 39263--2/3/2006--CULLEN_FROST_BANKERS_INC |
| 914208--2/29/2008--Invesco_Ltd. |
| 850483--4/2/2007--GTSI_CORP |
| 807884--2/27/2009--CASH_AMERICA_INTERNATIONAL_INC |
| 54507--3/1/2007--WESTAR_ENERGY_INC_/KS |
| 315213--2/19/2010--HALF_ROBERT_INTERNATIONAL_INC_/DE/ |
| 1001250--8/28/2007--ESTEE_LAUDER_COMPANIES_INC |
| 1001250--8/21/2008--ESTEE_LAUDER_COMPANIES_INC |
|