 We are interested in what burden we are imposing and whether we are focused on the right things or not."Richard Ketchum, CEO, Finra. |
Are Changes Coming to FINRA Exams?
Melanie Waddell | Think Advisor, November 2014
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Summary: The Financial Industry Regulatory Authority is moving ahead with its controversial plan to collect broker-dealer account data through its Comprehensive Automated Risk Data System (CARDS) program as FINRA is “getting to problems where investors are severely harmed too late,” and is "testing" the impact of its broker recruitment compensation plan, Richard Ketchum, the self-regulator’s CEO, said Monday.
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