SIPA Members
SIPA Members Are 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 wants to bridge this divide
Our members are NOT:
Blindly accepting every single rule proposal from the various Regulatory Bodies without proper debate and discussion.
Blindly rejecting every single rule proposal from the various Regulatory Bodies without proper debate and discussion.
Running nor Supporting Elections for unqualified candidates.
WHAT DO WE DO?
We advocate on behalf of not just our members, but for all members of the Securities Industry. We provide debate, Discussion, open communication, resources, insight, information, credibility, and an improved regulatory environment for everyone associated with the Securities Industry.
We believe that we may not all agree on every issue, but we must be able to continue to discuss in an open forum all present and proposed regulations that effect the individuals who work in the Capital Markets of this country and do it in a firm yet respectful manner.
