Chair Emeritus
Rye, NY
Executive Chairman and Chief Executive Officer (retired)
Financial Industry Regulatory Authority
Richard G. (Rick) Ketchum served as chief executive officer of the Financial Industry Regulatory Authority (FINRA) from 2009-2016. He has served as executive chairman of FINRA’s board of governors since 2007. Prior to joining FINRA, Ketchum spent five years as the first chief regulatory officer of the New York Stock Exchange. Before that, he led both the National Association of Securities Dealers and The Nasdaq Stock Market. He also served as director of the Securities and Exchange Commission’s division of market regulation.
Ketchum earned a bachelor’s degree from Tufts University and his juris doctorate from the New York University School of Law. He is a member of the bar in both New York and the District of Columbia. In 2016 the Securities Industry and Financial Markets Association (SIFMA) Foundation honored him with its Education Champion award. On the occasion of his retirement, FINRA created The Ketchum Prize in his honor to recognize outstanding service and research to advance investor protection and financial capability in the U.S. Ketchum joined the NEFE Board of Trustees in 2017.