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Articles tagged "Ketchum"

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NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

May 28, 2010 at 4:37 AM
Martin Kurtz: "The concerns around FINRA is that they've been in the suitability world; we're saying that this is a fiduciary world."

Martin Kurtz, president of Financial Planning Association for 2011, will take pragmatic approach

Electee has concerns about FINRA's historical 'suitability' mindset

November 13, 2009 at 10:52 PM
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