Warning: mysql_get_server_info() [function.mysql-get-server-info]: [2002] No such file or directory (trying to connect via unix:///var/run/mysqld/mysqld.sock) in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128

Warning: mysql_get_server_info() [function.mysql-get-server-info]: No such file or directory in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128

Warning: mysql_get_server_info() [function.mysql-get-server-info]: A link to the server could not be established in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128
The SIPA | 2016 | September

The SIPA

The Blog Of The Securities Industry Professional Association
Ads

Archive for September, 2016

Wells Fargo: Crime Does Pay

    We have been monitoring closely the events of the last few months and it appears that rules and laws are in place but are often ignored or enforcement is very selective. Small brokerage firms in particular have seen their compliance cost and burden soar due to nonstop rule making that continually requires yet […]
Comments Off on Wells Fargo: Crime Does Pay