The SIPA

The Blog Of The Securities Industry Professional Association
Ads

Game of Thrones for FINRA

Board Elections here again. The recent completion of the final season of Game of Thrones has left a void for many fans that still have many questions that are unanswered.  FINRA however has come to the rescue to fill this void just in the nick of time with their annual elections for the board of […]
Tags: , , Comments Off on Game of Thrones for FINRA

SMALL FIRM AGENDA FALLING ON DEAF EARS

Given the fact that our highly regulated brokerage industry caused the collapse of the free markets and our economy, I don’t think we are in a position to ask that others fall under our regulation. I’m not sure we should be worrying about more Madoff scams when in fact FINRA dropped the ball on both Madoff and Sanford as well as a dozen others.
Tags: , , , Comments Off on SMALL FIRM AGENDA FALLING ON DEAF EARS