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FINRA Makes Its Case for SRO Role Overseeing Advisors
Financial Planning; registration may be required 
June 7, 2012 "In testimony before members of a House committee on Wednesday, Richard Ketchum, the chairman and CEO of the Financial Industry Regulatory Authority, or FINRA, offered an enthusiastic endorsement of a legislative proposal to establish a self-regulatory organization to oversee retail investment advisors, an issue that has sparked considerable controversy throughout the industry. The bill 'has it right,' Ketchum told members of the Financial Services Committee. 'There should be provisions for one or more SRO whether or not it is FINRA.'" MORE >> |
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