Richard Ketchum

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  FINRA Inks Deal With Direct Edge, Gains Oversight of 90% of Equity Trading Volume

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  FINRA announced Wednesday that Direct Edge, the third-largest stock exchange operator in the U.S., has made a deal with FINRA to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.

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  FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA CEO Richard Ketchum called on the SEC Tuesday to “act quickly” to put brokers and advisors under a uniform fiduciary standard, but noted that in the absence of SEC action, FINRA “will look hard” at issuing “an additional disclosure rule” for BDs.

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  The 2013 IA 25: Advisor Advocates and Regulators

  By Editorial Staff  |  May 20, 2013

  Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.

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  Dale Brown: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.

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  Richard Ketchum: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 14, 2013

  FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."

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  SEC Exam Chief Di Florio Jumps to FINRA Post

  By Melanie Waddell, AdvisorOne  |  May 2, 2013

  In a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.

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  New Hire Roundup: Westport Resources Promotes DeLaura

  By Marlene Y. Satter, AdvisorOne  |  May 1, 2013

  This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.

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  The 2013 IA 25 Special Report

  By Editorial Staff  |  April 29, 2013

  With the 2013 IA 25, our 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  FPA Makes Two Big Pushes in Washington

  By Melanie Waddell, AdvisorOne  |  April 26, 2013

  The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.