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The SIPA | 2011 | January

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for January, 2011

SIPA SUPPORTS FIDUCIARY STANDARD

AS WELL AS AN INCREASE IN COMMISSIONS Houston we have a problem. Perhaps no phrase has ever spoken more about a problem than these famous words from Apollo 13 years ago. One little problem turned into thousands of people working day and night to try and solve a ‘problem’ that eventually led to the safe […]
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FINRA’S FOOD OBSESSION

I could not understand what sort of Business savvy former and current regulators would bring to a board. They obviously do not know marketing nor food coloring techniques that appeal to 5 year olds eating macaroni and cheese so why the mutual attraction ? As always just ask one simple question: How is Goldman Sachs involved in this?
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