Archive for May, 2020
Different Regulations for Different Firms?
One Size Does Not Fit All Firms As I continue this drive to be on the FINRA Board of Governors I will continue to update members on the glaring need for regulation that is not built around one size fits all. Over the years the SIPA has pointed out how many of the most onerous […]
Busacca for the FINRA Board
It’s Now or Never Put me on the FINRA Board of Governors In 2004 I formed the Financial Industry Association (FIA) as an advocate for small broker dealers and reps and began successfully challenging the election process. In 2007 I formed the Securities Industry Professional Association (www.theSIPA.com) and began endorsing our members to serve in […]
Nominating Petition
PETITION FOR NOMINATION Financial Industry and Regulatory Authority, Inc. 2020 Board of Governors Election in accordance with applicable By-Laws of FINRA I hereby certify that I am an Executive Representative of a FINRA member firm and as such I am eligible to cast one vote for the following candidate. I hereby nominate the following candidate […]
