Rick Ketchum

Richard Ketchum served as Chairman and CEO of the Financial Industry Regulatory Authority (FINRA) from 2009-16. He also served as CEO of New York Stock Exchange Regulation (2006-09) and as the first Chief Regulatory Officer of the NYSE (2004-06). Previously, he spent twelve years at the NASDAQ and NASD, serving as President of both organizations, and fourteen years at the Securities and Exchange Commission, with eight as Director of the Division of Market Regulation.