The SIPA

The Blog Of The Securities Industry Professional Association
Ads

Archive for June, 2017

BUYER BEWARE

The rule of any transaction since the days of Caesar  has always been “Buyer Beware.  The rise of the stock market the last few years has us thinking the same thing.  Is the economy really this good that the markets have doubled in the last five years?  Donald Trump was elected President largely because of […]
Comments Off on BUYER BEWARE

A Petition to Save Your Firm

The shrinking small firm landscape is getting scary We have written many times over the years about the shrinking number of small firm members of FINRA and how they could be going the way of the dodo bird if we do not stop the one size fits all regulatory approach.  Sadly, it appears to be […]
Comments Off on A Petition to Save Your Firm