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market selloff headline

Wednesday, June 23, 2010

A Letter from the FINRA Chairman & CEO - 2009 Year in Review

Chairman and CEO, Rick Ketchum, issued FINRA's 2009 Year in Review statement recently.
  • Introduction
  • Enhancements to FINRA’s Regulatory Program
  • Ongoing Enforcement of Rules and Regulations
  • Initiatives to Improve Surveillance
  • Expansion of Transparency Initiatives
  • FINRA Financial Results
  • Continued Investor Education Efforts
  • Regulatory Reform
  • The Road Ahead
  • Financial Summary
The full year-end statement can be viewed here.