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The SIPA | 2014 | May

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for May, 2014

FINRA Election For Small Firms

Now more then ever, make your voice heard! As we have in the past, the SIPA is urging all members to have your voice heard loud and strong and to use your vote wisely.  We have been approached by Paige Peirce and Carrie Wisniewski regarding their quest to be placed on the ballot.  Remember, this […]
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FINRA Launches Retrospective Rule Review

 FINRA recently announced that they will begin conducting a “look back” at their current rules to determine if the rules are meeting their intended objectives. “FINRA believes it is important to look back at its significant rule makings to determine whether those rules and rule sets are meeting their intended investor-protection objectives by reasonably efficient means,” said Robert […]
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