The Securities Litigation Expert Blog

Finra Focus Areas

Posted by Jack Duval

Jan 10, 2013 4:04:00 AM

This blog post continues our expert analysis of complex investments and their regulation.

In an interview with The New York Times, Finra CEO Richard G. Ketchum gave insights into the regulators areas of focus.  (NYT)  These include:


    • High Frequency Trading

    • Complex Products

    • Leveraged Loans

    • Collateralized Loan Obligations

    • Brokerage Conflicts with Proprietary Products


You can find our previous coverage of Richard G. Ketchum here and here.
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Topics: collateralized loan obligations, FINRA, complex, high frequency trading, Richard G. Ketchum, complex products, leveraged loans, investments, Compliance, regulation., Complexity

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