FSI OneVoice 2011: FINRA CEO Ketchum Defines Fiduciary as It Applies to BDs, Advisors
The FSI’s OneVoice 2011 conference kicked off in Phoenix Monday night with a Q&A session moderated by Dale Brown, FSI’s CEO, featuring Richard Ketchum, FINRA's CEO.
FSI OneVoice 2011: CEO Brown, Chairman Dwyer Discuss Organization’s New Direction
FSI President and CEO Dale Brown and Chairman Bill Dwyer met with reporters Tuesday morning to discuss the organization's 2011 initiatives, which include retirement planning outreach and small business help for advisors.
Ketchum: Investors need regulatory consistency
What we learned from Madoff is that it makes no sense for two independent regulatory bodies to oversee investment advisors and broker/dealers, Richard G Ketchum,...