Tag: Richard Ketchum

January 05, 2016 BY LeapRate Staff

FINRA aims to focus on broker 'culture' in 2016

The U.S. Financial Industry Regulatory Authority (FINRA) today released its Regulatory and Examination Priorities for 2016, highlighting three broad issues - supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business. FINRA…

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October 30, 2015 BY Maria Nikolova

FINRA's CEO Richard Ketchum set to retire in 2016

The Financial Industry Regulatory Authority (FINRA) announced today that Chairman and CEO Richard Ketchum is set to retire in the second half of 2016. In its announcement, FINRA praised Mr. Ketchum as one of the foremost industry regulators for more than three decades. He joined FINRA from the NYSE where he was CEO of NYSE…

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