Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Tuesday, February 24, 2009

Ketchum Appointed FINRA CEO

As expected, Richard G. (Rick) Ketchum has been appointed FINRA's Chief Executive Officer, replacing the new SEC Chair Mary Schapiro. Ketchum currently serves as CEO of New York Stock Exchange (NYSE) Regulation and as Chairman of FINRA's Board of Governors, a position he has had since FINRA was created in 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration operations of NYSE Regulation. He will continue in his role as FINRA's Chairman.  Finra also announced that Steve Luparello, currently FINRA's Interim CEO, will become Vice Chairman and continue to oversee FINRA's regulatory operations.

Prior to becoming CEO of NYSE Regulation, Ketchum served as the first chief regulatory officer of the New York Stock Exchange, a position he began in 2004. Ketchum was also one of the lead architects of the consolidation of NASD and major portions of NYSE Regulation into FINRA.  From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit's planning group, Business Practices Committee and Risk Management Committee.

Earlier in his career, Ketchum spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president of both organizations. He also spent 14 years at the SEC, eight of those as director of the division of Market Regulation.

Ketchum is a 1972 graduate of Tufts University and earned his Juris Doctor degree from New York University School of Law in 1975. He is a member of the bar in both New York and the District of Columbia.

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