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Articles tagged "Richard Ketchum"


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Alan Wolper: The biggest challenge [for FINRA] is finding a way to strike a reasonable balance between being the tough cop on the beat it yearns to convey and an industry association that actually helps its members.

FINRA shifts an unwelcome spotlight away from itself -- by training it on the brokers it oversees

The embattled SRO is spending $3.5 million to advertise BrokerCheck and is requiring its front-and-center placement on firms' websites as public demand for heightened fiduciary care grows

August 17, 2016 at 8:05 PM

Richard Ketchum professed support for a fiduciary standard,then, in the same speech, opposed the DOL's proposed rule-making, calling it 'problematic.'

Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos

In its latest burst of bureaucratic creativity, the wirehouse cop acknowledges the scourge of Wall Street culture then quickly excuses the behavior it elicits

January 29, 2016 at 6:33 PM

Pat Burns: FINRA has been in the red financially and the addition of thousands of new member firms with their membership fees would certainly be helpful to its bottom line.

FINRA is making dog whistle comments hinting its SRO ambitions still simmer

'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk

March 18, 2013 at 5:20 AM

Brian Hamburger: Don't think for a moment this is it. FINRA is playing coy.

FINRA's regulatory white flag may be a pause before it plays white knight to SEC's cash-starved damsel

Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play

February 8, 2013 at 5:26 AM

David Massey, NASAA president, is arguing that the SEC has the bandwidth to continue regulating advisors.

Is FINRA oversight a fait accompli? It's starting to feel that way.

IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation

November 23, 2010 at 5:38 AM

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