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Articles tagged "Rick Ketchum"


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Après moi le déluge? Outgoing FINRA chief Rick Ketchum engineered a bold bid for RIA oversight but leaves a flailing organization.

What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the investor henhouse

As Richard Ketchum departs amid fulsome praise, FINRA's failed bid to make RIAs 'rules based' combined with member unrest leave the SRO in deep dilemma mode

August 25, 2016 at 9:41 PM

Brian Hamburger: The impact of this confusion is incalculable.

RIA advocates cry foul after international media pick up on U. of Chicago study labeling shady stock brokers as 'investment advisers'

Investment Adviser Association issues urgent press release; authors offer defense that Brian Hamburger finds hard to swallow

March 4, 2016 at 11:40 PM

Rick Ketchum: The SEC has acknowledged that it cannot oversee advisors with its current level of funding.

Rick Ketchum reveals plan for advisor oversight at FSI conference

FINRA CEO promises light touch on rules, lays out political strategy

February 1, 2011 at 5:45 AM

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