Elizabeth K. King

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Elizabeth K. King
Elizabeth King.jpg
Occupation General Counsel and Secretary, Chief Regulatory Officer
Employer New York Stock Exchange
Location Chicago
LinkedIn Profile
Website www.theice.com

Elizabeth K. King is general counsel and chief regulatory officer of the New York Stock Exchange. She added the regulatory position to her duties in September 2018.[1][2]

King joined the board of directors of OCC as an exchange director in July of 2018, filling a vacancy created by the departure of former NYSE Group President Thomas Farley in May of that year.[3]

Previously, she was part of the regulatory legal team at Getco LLC and then was global head of government & regulatory affairs at KCG, the company that resulted from the merger of Knight Capital with GETCO. [4] She joined the Chicago-based electronic trading firm in June of 2010.[5]

Background

Before joining Getco and KCG Holdings, King was associate director, division of trading and markets at the U.S. Securities and Exchange Commission. She had been with the SEC since 1993. She supervised the division's regulation of the exchange-listed options industry as well as other derivatives. She was also in charge of directing the SEC's policy on regulating OTC derivatives.[6]

King was instrumental in guiding the industry toward trading in penny increments.

After she left the SEC, King was subject to a one-year “cooling-off period” before she could represent Getco to her former employer, the Securities and Exchange Commission (SEC).[7]

Prior to joining the SEC, King was an associate at the law firm of Shaw, Pittman, Potts & Trowbridge.[8]

Education

King has a J.D. from the University of Pennsylvania and an A.B. from Duke University.

References

  1. Upstart stock exchange IEX fuels frustrations about financial industry. The Globe and Mail.
  2. Intercontinental Exchange Appoints Andrew Surdykowski as General Counsel, Elizabeth King as Chief Regulatory Officer, and Octavia Spencer as Corporate Secretary. ICE.
  3. OCC Appoints General Counsel of NYSE Group to Board of Directors. OCC.
  4. Elizabeth King. LinkedIn.
  5. Street Moves:SEC's Elizabeth King To Join Trading Firm Getco. Dow Jones.
  6. Options Veteran King is On Short List to Fill SEC Vacancy. Traders Magazine.
  7. Quick View: Getco’s SEC trade. Financial Times.
  8. Options Industry Conference: Panelists. OIC.