Richard G. Ketchum

Chairman and Chief Executive Officer
Financial Industry Regulatory Authority

Richard G. Ketchum currently serves as chairman and chief executive officer at the Financial Industry Regulatory Authority (FINRA).

Most recently, Mr. Ketchum was CEO of NYSE Regulation and was named the first chief regulatory officer of the New York Stock Exchange.

Mr. Ketchum also served as general counsel of the Corporate and Investment Bank of Citigroup Inc., and as a member of the unit's planning group, Business Practices Committee and Risk Management Committee. Prior to that, he spent 12 years at NASD and The NASDAQ Stock Market, Inc., where he served as president of both organizations. In addition, Mr. Ketchum worked at the U.S. Securities and Exchange Commission (SEC) for 14 years, eight of which he served as director of the division of market regulation.

In October 2010, Mr. Ketchum was appointed by President Obama to serve on the President's Advisory Council on Financial Capability; a group established to promote and enhance financial literacy and capability among Americans. He also serves on the Joint Advisory Committee on Emerging Regulatory Issues, a committee created by the SEC and CFTC to review emerging regulatory issues, starting with the market events coming out of the May 2010 so-called “flash-crash.”

Mr. Ketchum serves on the board of directors of Appleseed, a non-profit network of 16 public interest justice centers in the United States and Mexico dedicated to advancing the rule of law, promoting effective government and creating opportunities for individuals' economic advancement.

Mr. Ketchum earned his Juris Doctorate degree from the New York University School of Law in 1975 and a bachelor’s degree from Tufts University in 1972. He is a member of the bar in both New York and the District of Columbia.

 

IFMR Advisory Council Members