Richard G. Ketchum is plotting Finra 2.0.
The chairman and chief executive of the Financial Industry Regulatory Authority has ambitious plans to expand the influence of Wall Street’s self-regulatory agency. At Mr. Ketchum’s urging, Finra is vying to replace the Securities and Exchange Commission as the top enforcer overseeing tens of thousands of investment advisers.
‘Enforcement 40’ for 2020
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