Rick Ketchum

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  Record Attendance, Upbeat Mood at FSI Conference

  By John Sullivan, AdvisorOne  |  January 29, 2013

  The new year finds the Financial Services Institute optimistic and on a roll.

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  You Decide: Who Should Be Next SEC Chairman?

  By James J. Green, AdvisorOne  |  November 29, 2012

  Is Sallie Krawcheck the right person? Rich Ketchum? Take our AdvisorOne quick poll; we’ll make sure President Obama hears who you want.

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  FSI to FINRA: This Is the Wrong Time for Higher Fees

  By Dale Brown, Financial Services Institute  |  July 26, 2012

  Part of FSI’s engagement with FINRA is to let them know when they have gone too far. That is clearly the case with the substantial fee increases the organization has proposed for broker-dealers and financial advisors, increases that would hit small firms the hardest.

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  Some Questions—and Answers—on the Spencer Bachus SRO Bill

  By David Tittsworth, IAA  |  May 14, 2012

  Some of the answers: FINRA is the only viable option that has been identified as an SRO and, as Mercer Bullard commented, "the bill would impose a tax on small advisory businesses...and mainstream investors they represent."

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  How to Make Your Voice Heard With Regulators in Your Own Backyard

  By Dale Brown, Financial Services Institute  |  April 24, 2012

  A good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.

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  Fiduciary Duty Rule: A Status Report One Year Later

  By Melanie Waddell, AdvisorOne  |  January 20, 2012

  January 21 marks the one-year anniversary of the SEC handing over to Congress its report under Section 913 of Dodd-Frank recommending that brokers adhere to a fiduciary duty.

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  SRO Bill May Arrive This Fall

  By Melanie Waddell, AdvisorOne  |  October 1, 2011

  Lawmakers and industry officials debated the merits in mid-September of whether there should be a self-regulatory organization (SRO) for advisors, and at least one industry official says to expect SRO legislation from the House this fall.

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  Ketchum Says FINRA Ready to Be Advisor SRO

  By Melanie Waddell, AdvisorOne  |  September 13, 2011

  Just days after House Financial Services Chairman Spencer Bachus, R-Ala., introduced draft legislation calling for one or more SROs for advisors, Rick Ketchum, CEO of FINRA, told lawmakers at a Tuesday hearing to discuss the draft bill that FINRA stands ready to take on that role.

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  Draft Bill Calling for SRO for Advisors Introduced in House

  By Melanie Waddell, AdvisorOne  |  September 8, 2011

  The House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.

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  MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement

  By Kathleen McBride, AdvisorOne  |  May 23, 2011

  ‘We’re dealing with other people’s money here,’ MSRB Chairman says.