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
