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The SIPA | 2018 | August

The SIPA

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

A call for action.

I would like to take this opportunity to thank everyone for their support during the most recent election for the Small Firm seat on the FINRA Board of Governors. I was thrilled and extremely honored to receive the phone call this week from Robert Cook/FINRA telling me that I won. I look forward to working […]
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How many board members does it take to screw in a light bulb?

24 caret board members get’s expensive The recent election of Paige Pierce to the FINRA board had us doing some head scratching. While we acknowledge the small firm representation and large firm representation on the board of governors, is it too much for members to ask for a scale back on the sheer number? Currently, […]
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SIPA Member Paige Pierce Wins FINRA Board Seat

Is it time for optimism for small firms? FINRA recently announced that Paige Pierce has won a seat on the FINRA board of governors to represent the roughly 3000 small firms that are still left. The SIPA has supported her in her past elections for the NAC and the board and we were proud to […]
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Facebook vs. FINRA

Social Media is the fall guy for all the other spy games On a near weekly basis we are subjected to the endless cries from Congress about the invasion of rights on American citizens by the social media and search engine giants of silicon valley. Millions have recently begun closing their Twitter and Facebook accounts […]
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FINRA Double Dipping

FINRA has a curious punishment policy With a heat wave covering much of the country, I am reminded of the Ice cream shops and trucks that all the neighborhood kids ran to in order to get the coldest and best ice cream. We had one shop that had the specialty of doing a double dip […]
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