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The SIPA | 2010 | June

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for June, 2010

FINRA BOARD ELECTION TO HAVE PETITION SLATE

The SIPA is pleased to announce that the petition candidates for the FINRA Board of Governors have obtained the necessary number of petitions and will be on the ballot as a slate this summer. The candidates contested previously appointed Board members of FINRA and have worked diligently to obtain not only your support but your input and have made themselves available to al FINRA members with concerns or questions.
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Important Notice From Ken Norensberg

changes the Safe Harbor rule limiting your expansion capabilities (makes you ask permission from FINRA for virtually any new lines of business or expansions beyond “safe harbor”). Again, preventing you from potential revenue while the district takes its time to approve.
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A Tale of Two Trades

Let’s take a look at 2 brokers in 2 different offices both looking at British Petroleum for their customers for two different reasons. The first broker believes the spill is overblown and that with 64 billion in net profits the previous year and a dividend yield now approaching 9% it’s certainly worth a 10,000 share investment. The second broker believes the worst is yet to come and thinks BP could go bankrupt from this massive oil spill so he decides to take advantage for his customer who favors aggressive investing and he wants to go short 10,000 shares of BP.
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