We believe investors should expect to enter into any financial transaction knowing that:

• Every person who provides financial advice and sells a financial product is tested, qualified and licensed.
• The advertising for financial products and services is not misleading.
• Every product marketed to them is appropriate for recommendation to that investor.
• There is full and comprehensive disclosure for the services and products being marketed that address, in plain English, the risks—including the worst-case risks—of the product.
• Every person who is in the business of regularly providing financial advice is subject to a federally crafted fiduciary standard.

We're speaking out on behalf of investors. Find out what we—and others—are saying about ways to further protect investors.

Video: CEO Rick Ketchum on CNBC - "Protection for Muni Bond Investors"

Speech: Remarks by Chairman and CEO Rick Ketchum From the Exchequer Club

Testimony: CEO Rick Ketchum testifies before the U.S. Senate Committee on Banking, Housing, and Urban Affairs

News: Activity of Investment Advice Needs Regulation, Investment News Editorial

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• Variable Annuities

• FINRA Chairman and CEO Rick Ketchum appears on CNBC’s “Closing Bell.”

  10.14.09

• FINRA Bars Former New York Broker for Defrauding Elderly Investor of More Than $500,000

  10.8.09

• FINRA Panel Bars New Jersey Broker for Misappropriating Funds From 97-Year-Old Widow's Charitable Foundation

  9.15.09

• FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations

  9.2.09

• FINRA Bars Brokers in Multi-Million-Dollar Ponzi Schemes

  8.31.09