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The SIPA | 2011 | May

The SIPA

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

Ken Norensberg’s Petition

I wanted to thank you for the support that you have shown the team of Ken, Joel and Jed. What the Members did was unprecedented! Please sign the attached petition so that the team can continue to be informed voices on the Board of Governors. Ken’s Petition for the Board of Governors United we stand! All the best, […]
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STREET JUSTICE THE OLD FASHIONED WAY

If you recall, In January we released a story tracking Berkshire Hathaway to Goldman Sachs and other powerful Wall Street names Click here to read and suggested that the Wizard of Omaha may not be as clairvoyant to market and economic trends as he has indicated. I even received some scathing e-mails from readers who were aghast that I would even suggest that Berkshire would trade on inside information. A few short weeks later we learned that the CEO of Berkshire was trading on inside information:
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FINRA ELECTIONS HAVE DIVERSITY

When choosing a candidate take into account this staggering number we just quoted. Ask them what they intend to do to help stop the slaughter of small firms through excessive regulation and costly rule implementation that does little or nothing to protect the public. Ask them what rules they would change and keep the same and ask them if they know what it costs to implement the various trade reporting, AML and PCAOB audits
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