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Red Oak Blog

News that affects your business and ours.
 
Sunday, March 31 2013

FINRA’s CEO Wants Consolidated Rules for Investment Advisers and Brokers

On March 14th in Washington, Richard Ketchum the CEO of FINRA repeatedly remarked about the SEC’s inability to adequately oversee registered investment advisers. “If investors are to be protected, investment advisers need to be examined regularly and vigorously. It’s as simple as that, and it is not happening under our current system,” Ketchum stated. Ketchum also advocated brokers and investment advisers being governed by the same set of rules. To read the full article, please click here.