Richard G. Ketchum

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.