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The SIPA | 2019 | May

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for May, 2019

´╗┐Suspicious Activity Reporting: Just report every client

Suspicious Activity Reporting:  Just report every client FINRA Guidance causes more confusion than clarification FINRA recently came out with a Regulatory Notice to Members providing guidance for red flags and when to file a SARS report. For this action we say job well done and it is long overdue because many members have been asking […]
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FINRA Proposal Could Jeopardize Small Firms

FINRA Proposal Could Jeopardize Small Firms Firms Net Capital could be sky rocketing FINRA recently asked member for comment on a new rule proposal that is nothing more than an attempt to raise the Net Capital Requirement of member firms.  However, if some aspects of these proposals go through we believe FINRA could be culpable […]
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