{"id":1202,"date":"2013-02-19T16:57:47","date_gmt":"2013-02-19T16:57:47","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/02\/finra_pulls_back_on_regulating_1"},"modified":"2022-03-10T16:35:55","modified_gmt":"2022-03-10T22:35:55","slug":"finra-pulls-back-on-regulating-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-pulls-back-on-regulating-1\/","title":{"rendered":"FINRA Pulls Back on Regulating Registered Investment Advisers"},"content":{"rendered":"

\t\t\t\tAccording to Financial Industry Regulatory Authority Chief Executive and Chairman Richard Ketchum, the SRO is pulling back from its bid to regulate Regulating Registered Investment Advisers. This move comes after FINRA spent the last couple of years lobbing to become the main regulator for RIAs.<\/p>\n

However, according to Ketchum, in the wake of the current political climate and changes in leadership during the 2012 election, he does not expect that the House of Representative Financial Services Committee will try to revamp the way RIAs are currently regulated, which is via the Securities and Exchange Commission. For advisers that did not want FINRA overseeing them, this is good news. <\/p>\n

However, not all of those that were against the SRO taking over RIA regulation are convinced that FINRA has completely given up. Some are worried that the regulator intends to return to the issue at a later date. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to Financial Industry Regulatory Authority Chief Executive and Chairman Richard Ketchum, the SRO is pulling back from its bid to regulate Regulating Registered Investment Advisers. This move comes after FINRA spent the last couple of years lobbing to become the main regulator for RIAs. However, according to Ketchum, in the wake of the current […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739,3781],"tags":[],"class_list":["post-1202","post","type-post","status-publish","format-standard","hentry","category-finra","category-investment-advisers"],"yoast_head":"\nFINRA Pulls Back on Regulating Registered Investment Advisers — Investor Lawyers Blog — February 19, 2013<\/title>\n<meta name=\"description\" content=\"According to Financial Industry Regulatory Authority Chief Executive and Chairman Richard Ketchum, the SRO is pulling back from its bid to regulate — February 19, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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