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The SIPA | 2011 | February

The SIPA

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

SMALL FIRM AGENDA FALLING ON DEAF EARS

Given the fact that our highly regulated brokerage industry caused the collapse of the free markets and our economy, I don’t think we are in a position to ask that others fall under our regulation. I’m not sure we should be worrying about more Madoff scams when in fact FINRA dropped the ball on both Madoff and Sanford as well as a dozen others.
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FINRA OPENS UP ELECTION PROCESS

We hope that FINRA's attempt in all this is to allow a truly fair and open system rather then trying to dilute the vote among small firm candidates while counting on their pet trade organizations to support a single candidate of their choosing. Even if that's the case it will still be the voice of the small firm and this is what we have been fighting years for The SIPA intends to sit this election out and allow the members to decide for themselves who should speak for them.
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