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Univ. of Toledo College of Law

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Tuesday, May 24, 2011

FINRA's Ketchum Addresses Compliance, Fiduciary Standard and other Challenges at Conference

Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA, spoke today at the FINRA Annual Conference in Washington, DC.  In his prepared remarks, Mr. Ketchum "shared ... some of what we're focused on right now at FINRA, including changes to our exam program. I'd also like to offer some observations about what we're seeing from the industry, both in terms of improved compliance and challenges facing firms, as well as areas that I think we both should be thinking about as the industry looks toward a fiduciary standard."

http://lawprofessors.typepad.com/securities/2011/05/finras-ketchum-addresses-compliance-fiduciary-standard-and-other-challenges-at-conference.html

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