The Blog Of The Securities Industry Professional Association

Vote for Ken

Recap of the last several months since the last election.

The team of Ken, Joel and Jed have:

· Voiced Members concerns with Representatives from the PCAOB,

OATS, Enforcement, Examinations, the Ombudsman, Various Districts

and many more.

· Created transparency by issuing letters to the Members after each

Board meeting informing you what happened at the meeting and

what issues you should be following.

· Been accessible to Members and responded to numerous calls from

Members about issues that affect them and their business.

Ken’s Positions:

· The Rules and Regulations were continuing to expand unchecked

and the Members deserved a strong voice picked by them.

· Supports an exemption from the PCAOB audits for Small Firms.

· Supports Risk Based Examinations, not Rules Based Enforcement.

· Supports a Members right to expand their business and live the

American Dream.

· Supports a Members right to be a part of the Rules making

process and to be heard and addressed.

Ken’s Background:

· He has been a producing Rep, Branch Office Manager, Owner and Operator of

Small Broker Dealers For the past 15 years.

· Qualified Series 4,7,24, 63 & 79 licenses.

· Assisted numerous Broker Dealers with Business Expansions,

New Member Filings, Broker Dealer Sales and Purchases as well as

virtually all aspects of owning and operating a Broker Dealer.

There is still a lot of work that needs to be done and he needs your support to continue. Best way to vote:

Each Member will receive a code from CES to log in and vote takes 1 minute to do!

As always, Ken loves to hear from the Members he can be reached at 347-284-0110

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July 7th, 2011




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