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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Friday, May 7, 2010

FINRA Head Addresses Market Reg Issues at SIFMA Seminar

Richard G. Ketchum, FINRA Chairman & Chief Executive Officer, spoke today at the SIFMA Compliance & Legal Division's Annual Seminar in Washington, DC.  According to his prepared remarks, he spoke about market regulation and audit trails, product reviews, modifications to our examination and enforcement programs, the fiduciary standard, and point of sale.

http://lawprofessors.typepad.com/securities/2010/05/finra-head-addresses-market-reg-issues-at-sifma-seminar.html

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