NEW YORK -- Regulators duplicating the efforts of their peers at other agencies is a risk looming on the horizon, says Richard Ketchum, CEO of FINRA.

Ketchum, speaking at a joint SIFMA and American Institute of CPAs conference, says coordination between regulators is "an absolutely critical thing."

Register or login for access to this item and much more

All On Wall Street content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access