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Litigation partner Ben Indek will moderate the panel for "FINRA’s Approach to Self-Regulatory Oversight" at the AICPA/SIFMA FMS Conference on the Securities Industry.
FINRA has a primary role in supervising most of the securities firms in the United States. As its member firms have grown in size, it has changed its approach to a more risk-based style, incorporating some of the techniques used by international and domestic banking regulators. Rick Ketchum, FINRA’s chairman and CEO, will discuss how FINRA’s approach has evolved and what his vision for the future is.