The Blog Of The Securities Industry Professional Association

Archive for October, 2012

A Lesson in Pink

A walk to remember I recently was coaxed (told) by my wife to take part in a 5k walk for Breast Cancer Awareness in downtown Orlando.  October is breast cancer awareness month and if you are a fan of the NFL you notice players wearing pink wristbands, shoes and ribbons all over their body.  For […]
Comments Off on A Lesson in Pink

Clearing Firms Replacing FINRA

  Small firms being squeezed out In 2006  the NASD announced they were going to merge with the NYSE and eliminate the one firm one vote rights of over 5000 brokerage firms in the United States.  While some ushered in the idea of a public dominated board, others cautioned that without one firm one vote, […]
Comments Off on Clearing Firms Replacing FINRA