Search for: "In Re Ketchum"
Results 21 - 34
of 34
Sort by Relevance
|
Sort by Date
24 May 2011, 12:44 pm
Ketchum "shared ... some of what we're focused on right now at FINRA, including changes to... [read post]
26 Apr 2011, 8:33 am
I think we're more agile now than we were three years ago," Ketchum told the New York Times. [read post]
8 Feb 2011, 12:34 pm
Rick Ketchum, Chairman and CEO, FINRA, spoke today at the CCOutreach BD National Seminar on product concerns: Private Placements & Private Self Offerings First, we're looking at retail sales of private placement interests, including those issued by broker-dealers and control... [read post]
13 Oct 2010, 8:46 am
FINRA’s Chief Executive Officer Richard Ketchum stated that the option “would enhance confidence in and increase the perception of fairness in the FINRA arbitration process. [read post]
29 Sep 2010, 6:04 am
A plaintiffs lawyer filed a motion for recusal last week after reading media reports that, during the 2008 election, Ketchum had said of the Medical Professional Liability Act, "I will not vote to overturn it. [read post]
20 Jul 2009, 7:37 am
We do not know the total millions of dollars FedEx Corporation pays Ketchum annually for the valuable and important work your company does for us around the globe. [read post]
20 Jul 2009, 1:05 am
We’re hopeful that over time, our city will have a better “face” to present to visitors. [read post]
8 Jun 2009, 1:00 pm
Self-Assessments: Criteria and Procedures for Evaluating GRC Programs with Gracie Fisher Renbarger, Chief Ethics and Compliance Officer of Dell; Nan Stout, Vice President Business Ethics of Staples; and Carole Stern Switzer, President of OCEG Richard Ketchum Keynote from the Compliance Week Conference It's Not Fraud, But it Can't be Ignored The SEC's Radical Disclosure Overhaul with Dr. [read post]
3 Jun 2009, 11:45 am
FINRA is re-evaluating their internal processes to see what they could do better. [read post]
21 Oct 2008, 1:37 pm
Here's an interesting incident from her college days, as told by Kim "Tilly" Ketchum, her good friend from Wasilla and former college roomate: Ketchum could remember only one out-of-character incident. [read post]
29 May 2008, 5:32 pm
You're supposed to be giving it to people who are helping you to get candidates elected. [read post]
5 May 2008, 6:00 am
(See Ketchum v. [read post]
4 Nov 2007, 10:23 pm
He argues: "While they're finishing up their service, we're literally opening our doors to the moviegoing public. [read post]
8 Jan 2007, 10:03 am
Which, of course, is precisely why you're reading "Adam Smith, Esq. [read post]
