11.   Officials from the Federal Reserve, which has already given First Union authority to underwrite stock, are expected to visit the bank soon to review its plans.

12.   One reason the Big Three are pulling away from the pack is their dominance of high-margin businesses such as underwriting stocks and advising on mergers and acquisitions.

13.   Prudential does not underwrite the stock.

14.   San Francisco-based Montgomery specializes in underwriting stock and advising mergers, particularly among high-growth technology and health care companies.

15.   Securities firms are on pace for a record year of profits in part because of the fees they reap when underwriting stocks.

16.   Those standings demonstrate how much more lucrative it is to underwrite stocks than bonds.

17.   While Dillon Read specializes in advice, it has a relatively small capital base, which constrains its ability to underwrite stocks and bonds, analysts say.