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: Securities Law Prof Blog

FINRA CEO Speaks on Self-Regulation of Investment Advisers

By Securites Lawprof

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Richard Ketchum, FINRA CEO, spoke on March 22 at the SIFMA Compliance and Legal Division's Annual Seminar and addressed the issue of FINRA's becoming an SRO for investment advisers, a possibility that most investment advisers oppose. In his prepared remarks,...

Full post as published by Securities Law Prof Blog on March 25, 2011 (boomark / email).

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