SIFMA Compliance & Legal Society Announces Richard G. Ketchum as the Recipient of the 2026 Alfred J. Rauschman Award

Washington, D.C., March 10, 2026 – Today, SIFMA announced Richard G. Ketchum as the 2026 recipient of the SIFMA Compliance & Legal (C&L) Society’s Alfred J. Rauschman Award. The award acknowledges individuals who have made significant contributions to the financial services compliance and legal profession, fostered open communications among industry practitioners, and dedicated their careers to promoting trust and confidence in the securities industry.

“Rick Ketchum’s career has been defined by a deep commitment to investor protection and market integrity,” said Karen O’Toole, President, SIFMA Compliance & Legal Society. “Through his leadership across many of the industry’s most important regulatory institutions, Rick helped advance a more transparent, collaborative approach to oversight that has strengthened trust and confidence in our markets. We thank him for his long-standing commitment and contributions to our profession and the financial system.”

From 2009 to 2016, Ketchum served as the former Chairman of Board of Governors and Chief Executive Officer of FINRA. Under his leadership, FINRA reinvented the way it examines the industry and dramatically improved its ability to detect fraud before investors are harmed by improving collaboration with the SEC, DOJ, and FBI. Upon his retirement, FINRA created The Ketchum Prize in his honor to recognize outstanding service by those advancing investor protections and financial capabilities.

In 2010, 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 for Americans.

Prior to joining FINRA, Ketchum was the Chief Executive Officer of NYSE Regulation, Inc. from 2006 to 2009, and previously was the first Chief Regulatory Officer of the New York Stock Exchange from 2004 to 2006.

Before that, Ketchum held a twelve-year tenure at the National Association of Securities Dealers (NASD) and The Nasdaq Stock Market, Inc., where he served as President of both organizations.

Prior to working at NASD and Nasdaq, Ketchum was at the SEC for 14 years, including serving eight of those years as the Director of the Division of Market Regulation.

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 the District of Columbia.

The Alfred J. Rauschman Award will be presented to Ketchum at the C&L Annual Seminar in Orlando, Florida on March 23, 2026.

Alfred J. Rauschman was a visionary in the securities industry compliance and legal profession. The humble roots of SIFMA’s C&L Society go back to a time in the late 1960s when Al Rauschman and a group of his contemporaries began meeting informally to discuss current compliance, legal, and regulatory topics affecting the securities industry. These early efforts led ultimately to the founding of what is today known as the SIFMA Compliance & Legal Society, and Al Rauschman served as its first president.

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About SIFMA’s C&L Society

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50-year history, it provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.

About SIFMA

SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of our industry’s nearly 1 million employees, we advocate for legislation, regulation and business policy, affecting retail and institutional investors, equity and fixed income markets and related products and services. We serve as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. We also provide a forum for industry policy and professional development. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). For more information, visit http://www.sifma.org.