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The SIPA | 2011 | April

The SIPA

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

Diary of a District Committeeman

When I talked to several fellow committee members privately I was surprised to learn how much we had in common in our views and perceptions of regulation. The only problem was that several expressed concerns to me about raising their voices or offering their opinion for fear of alienating their FINRA examiners.
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GAS PRICES AND MARKET MANIPULATION

The real worry is if oil is no longer priced in U.S. dollars and instead switches to the Euro or Yen or Cheech and Chong. Quite frankly, once oil is no longer priced in U.S. dollars our prices will double overnight from their current levels. Washington doesn’t want to address this however and instead is focusing on Oil companies and price gouging.
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OBAMANOMICS CAN FIX OUR FINANCIAL WOES!

President Obama's strange way of calculating everything from unemployment rates to budget cuts could be the key to showing economic growth in other areas. Unemployed people are being dropped off the unemployed list so why can't unsold homes be dropped from the unsold inventory list? read the full story for our ideas.
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Costs for small and large firms could soar

FINRA’s recent proposal to require more back office personnel to be registered is the latest in a series of head scratchers for the regulatory giant that is under fire by Congress for not protecting investors. The timing and the need for the proposal is in direct contrast to the needs being laid out by their big brother at the SEC
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