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The SIPA | 2018 | June

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for June, 2018

PCAOB RELIEF FINALLY HERE?

Let Paige Pierce finish the job! To my Small Firm colleagues, I would like to take this opportunity to let everyone know that I have thrown my hat into the ring for the FINRA Board and I would really appreciate your support in getting my name on the ballot. To earn my spot on the […]
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The Godfather meets The Sting

Was Hillary Clinton an unwitting pawn? If you are an ardent follower of The SIPA, you know that our basic principles for surviving Life, Wall Street and Regulation are to: 1) Follow the Money 2) Use common sense 3) Every life lesson or parallel can be found in the movie ‘The Godfather” For over 10 […]
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