Mr. Richard Ketchum

      



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Mr. Richard Ketchum

Promontory Advisory Board Member

Mr. Richard Ketchum served as chairman and chief executive officer of the Financial Industry Regulatory Authority from 2009 to 2016. He previously served as CEO of New York Stock Exchange Regulation, from 2006 to 2009, and as the NYSE's first-ever chief regulatory officer, from 2004 to 2006. Mr. Ketchum also spent 12 years at the NASDAQ and NASD, serving as president of both organizations, as well as 14 years at the Securities and Exchange Commission, with eight as director of the Division of Market Regulation.

Experience

In 2010, Mr. Ketchum was appointed by President Barack Obama to serve on the President's Advisory Council on Financial Capability. He also served on the SEC and Commodity Futures Trading Commission’s joint advisory committee on emerging regulatory issues, which was created to review regulatory issues after the “Flash Crash” of May 2010. From June 2003 to March 2004, Mr. Ketchum was general counsel of the corporate investment bank at Citigroup and a member of the unit’s committees focused on business practices and risk management.

He is a member of the bar in both New York and the District of Columbia. Mr. Ketchum earned his J.D. from the New York University School of Law in 1975 and his B.A. from Tufts University in 1972.



Education



Affiliations, Awards, and Civic Engagements



Representative Engagements


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