FINRA’s CEO Wants Consolidated Rules for Investment Advisers and Brokers

On March 14th in Washington, Richard Ketchum the CEO of FINRA repeatedly remarked about the SEC’s inability to adequately oversee registered investment advisers. “If investors are to be protected, investment... [...]

The Massachusetts Securities Division has issued a proposal that would require a criminal background check of every person registering as an investment adviser representative. The proposed rule would require each... [...]