Press Releases
Paige Pierce elected to the Financial Industry Regulatory Agency District Committee
NEWS RELEASE
April 15, 2008
RW Smith announced today that Paige W. Pierce, President and Chief Executive Officer, has been elected to the Financial Industry Regulatory Agency (FINRA) District Committee, for the third district in the western region of the United States.
Ms. Pierce has spent the vast majority of her twenty-five years in the industry working with and for small firms across the nation. She proudly serves on the SIFMA Small Firm Committee and in 2006 was chosen by The Bond Market Association to represent the Small Firm sector of the municipal bond market in a municipal and credit markets meeting with Federal Reserve Chairman Ben S. Bernanke.
“Experience matters and I have spent my career championing the retail sector of the market. Having been an owner and executive of small firms for the bulk of my career, I completely understand the myriad issues faced by FINRA small firms. I am excited to be able to bring a uniquely diverse set of credentials to the FINRA District 3 Committee. My work experience includes executive management positions in finance, operations, trading, marketing, compliance and information systems, and, as a result, my knowledge of the industry is extensive. My operational and regulatory expertise derive from years of development and oversight of production, back office and compliance functions. I have worked at a wirehouse, regional broker-dealers, an offshore broker-dealer (Bermuda), dealer banks, and interdealer brokers. I feel confident that I will bring a unique and broad perspective to the regulatory and oversight issues handled by the FINRA District Committees,” Pierce stated.
Ms. Pierce will attend the orientation for new FINRA District Committee members on June 24, 2008 in Long Beach, California. Following orientation, FINRA will host a combined Western Region District Committee meeting the next day, again in Long Beach; all of the western region committees will be coming together for this meeting. Should constituents of District 3 (Arizona, Colorado, New Mexico, Utah, Wyoming, Alaska, Idaho, Montana, Oregon, and Washington) wish to raise their concerns with Ms. Pierce, including emerging trends that may pose a threat to customer protection, market integrity, or small business solvency, please contact her at (801) 733-9909 so that she may raise your concerns to the District level.