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The SIPA | 2009 | October

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for October, 2009

FINRA Election Process

Now that the NAC election is over, and the next big election is on the horizon, the Board of Governors, it is probably time to discuss the FINRA election process
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We Hate To Say We Told You So..

The SIPA has been granted unprecedented access to recently released and soon to be released Court documents that basically prove beyond a shadow of a doubt that members of then NASD were mislead and even deliberately lied to by the powers that be in order to obtain their vote.
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NYSE Candidate Draws Opponents Fire

My opponent, the FINRA Nominating Committee choice sent you a letter urging your support on firm letterhead declaring his NYSE Membership to the World. No comment of any FINRA Membership was made. Is this who he intends to represent? NYSE firms? The FINRA selection fails to understand this is a small firm NAC election. Perhaps he should be seeking a position with the NYSE where his interest obviously rests.
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