WASHINGTON, D.C. – Below is a statement from FSI President & CEO Dale Brown on FINRA Chair & CEO Richard Ketchum’s announcement of his retirement:
“It has been a pleasure working with Rick over the past several years. While at times we had our differences, he was always willing to listen, understand and consider the perspectives of all stakeholders. Through this collaboration Rick and his team at FINRA have enhanced investor protection through more effective regulation. I congratulate him on his retirement.”
About the Financial Services Institute (FSI): The Financial Services Institute (FSI) is the only organization advocating solely on behalf of independent financial advisors and independent financial services firms. Since 2004, through advocacy, education and public awareness, FSI has successfully promoted a more responsible regulatory environment for more than 100 independent financial services firm members and their 160,000+ affiliated financial advisors – which comprise over 60% of all producing registered representatives. We effect change through involvement in FINRA governance as well as constructive engagement in the regulatory and legislative processes, working to create a healthier regulatory environment for our members so they can provide affordable, objective advice to hard-working Main Street Americans. For more information, please visit financialservices.org.