The Blog Of The Securities Industry Professional Association


Our members are all industry professionals

  • Membership in THE SIPA is open to ALL persons Associated with Financially Regulated firms, including Registered Representatives, FINOP’s, Compliance officers, Investment Advisors.
  • The SIPA encourages participation from all areas of the Financial Industry, including Securities Attorneys, Consultants and Regulators.
  • The SIPA is comprised of Broker Dealer Owners, Producing Brokers, and Former FINRA and SEC regulators who are looking to bridge the gap between those that Regulate and the Regulated.
  • The SIPA was founded on the belief that there needs to be a middle ground between financial professionals and the Regulatory Process. Some organizations lay down for every new rule proposal while other trade organization draw a line in the sand against every new proposal.
  • SIPA advocates on behalf of the individuals affected by regulation, and is committed to providing the regulators an alternative source of data regarding the positions of the regulated with regard to important issues.
    SIPA Member views will be ascertained by poll, refferendum and commentary. All opinions will be presented to the regulatory authorites as certified true, yet anonymous – providing a forum for free communication of ideas, without fear of reprisal or negative consequences.


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