Richard G. Ketchum
From MarketsWiki
| Richard G. Ketchum | |
| Occupation | CEO |
|---|---|
| Employer | NYSE Regulation, Inc. |
| Location | New York, NY USA |
| Web site | www.nyseregulation.com |
Richard Ketchum is chief executive officer of NYSE Regulation, Inc., and non-executive chairman of the board of governors at FINRA, formed from the 2007 consolidation of NASD and NYSE Member Regulation. He is also chairman of the World Federation of Exchanges' regulatory committee.[1]
Background
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Ketchum served as the first chief regulatory officer of the New York Stock Exchange since March 2004.[2]From June 2003 to March 2004, he was general counsel of the corporate and investment bank of Citigroup, and a member of the unit's planning group, business-practices committee and risk-management committee.[3]
Previously, he spent 12 years at NASD and The NASDAQ Stock Market, Inc., where he served as president of both organizations.[4]Ketchum joined NASD as executive vice president of legal, regulatory and market policy in 1991, coming directly from the SEC. In 1998, Ketchum was named president after serving at COO under Frank Zarb.[5]
Prior to working at NASD and NASDAQ, Ketchum was with the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as director of the division of market regulation.
Education
Ketchum earned his J.D. from the New York University School of Law in 1975 and his B.A. from Tufts University in 1972. He is a member of the Bar in both New York and in the District of Columbia.[6]
References
- ↑ About FINRA, Richard G. Ketchum. FINRA. Retrieved on October 29, 2007.
- ↑ NYSE Appoints Richard Ketchum Chief Regulatory Officer. NYSE. Retrieved on May 7, 2008.
- ↑ Regulatory Leadership. NYSE Regulation. Retrieved on May 7, 2008.
- ↑ Richard Ketchum. U.S. Securities Exchange Commission. Retrieved on May 7, 2008.
- ↑ Richard Ketchum, NASD COO, Gets Additional Post of President. Registered Rep. Retrieved on May 7, 2008.
- ↑ Richard G. Ketchum. U.S. Securities Exchange Commission. Retrieved on May 7, 2008.
