It's very important for us to know, relatively speaking, who's active in structured products, who sold a lot a lot of Puerto Rican bonds, the other piece – which we're very focused on now – is the question of how, out of the 600,000-plus registered advisers, Richard Ketchum identify the 200 to 300 that are really dangerous from the standpoint of ‘ likely to kill again' in the short term.

Richard Ketchum

Categorized in : Business

There's no doubt in my mind that the future of regulation is going to be about data analytics, we need to have an environment where there is more access to more data for regulators so that we can react more quickly.

Richard Ketchum

We’re not about suggesting whether there’s a single pass-fail as to whether a firm has a certain culture, it’s whether they comply with FINRA rules.

Richard Ketchum

We do think the information is valuable, but we don’t think there should be significant bars to it so we are looking hard at that.

Richard Ketchum

If someone asks for a trade to occur, firms are under an obligati... by Richard Ketchum

If someone asks for a trade to occur, firms are under an obligation to move ahead.

Richard Ketchum

They would like clarity in that from us. We will provide clarity on that and are working with the SEC.

Richard Ketchum

I regret the possibility of having different standards with... th... by Richard Ketchum

I regret the possibility of having different standards with... the Labor Department's proposal.

Richard Ketchum

I won't second guess what happened at the MERC without understand... by Richard Ketchum

I won't second guess what happened at the MERC without understanding the facts themselves.

Richard Ketchum