Distinguished Toastmaster
BUSINESS & BRANDING COACH . LIFE & LEADERSHIP STRATEGIST MOTIVATIONAL SPEAKER SERVING ENTREPRENEURS &
MAIN STREET

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IF THE SEC ACT CITED ANTI-COMPETITION THEN HOW DID FINRA BLOCK THE..... (c) Carrie Devorah:
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Once one wades in to a conversation on FINRA and "HOW DID", it is as if one cannot get out only to sink deeper and deeper in to the bog...
..... so to speak.

Know this before moving forward, it's not you. Really. It's not you. It's "them" having set up a complex web one could characterize as Commercial Charade. You did nothing wrong. You did right. You were real. They were not. It's the old pimp-whore relationship, a deliberate web of Wall Street exclusion intent telling you what they needed you to hear..... 

Inarguable is that the SEC email states no one else applied to become an S.R.O. How in financial heck could One have arisen out of what was determined would be many? The SEC ACT Of 1934 (revisited in 1975) does use multiples, not singular, multiples. 

That is not the case. What is it the SEC looks at, or, one may ask, does the SEC, if at all.
There have been applicants for SROs. For whatever reason, FINRA was the gatekeeper, for good reason.
There is, in this tech world, an emerging opportunity for the S.R.O.s to come out again. As much as I hate to be the one to say it, FINRA and all other FINTECH business leagues, went the way of the Narwhale once Silicon Valley sunk its teeth in to Tech Disruption.

Online investing has already busted down the door of investment advisor accountability. Online alias has already busted down the door of fingering who the investment advisor is, or isnt. One advisor has been calculated to have upwards of over 66 online alias' all of whom track to a PR company. Others track, nowhere, deadending at a Privacy Block.
The INMATES are running the financial nuthouse the SEC has lost control of. In Brit terms, the chief nutters are those accepting without vetting what is presented as WALL STREET GOSPEL.

Question then remains, how has the SOLE S.R.O. got away with it all this time. Oh yes, the S.R.O. moved members in to positions at the Regulator.... duhhhhh