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Finra abandons effort to become RIA regulator

Finra chairman and CEO Richard G. Ketchum said the regulator is no longer interested in expanding its oversight to financial advisers.  Mr. Ketchum told the Wall Street Journal on Thursday, “We are not pursuing it at the present time.” “We don’t perceive any likelihood that it would be successful,” Mr. Ketchum told the WSJ, referring to […]