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Richard G. Ketchum

Adjunct Professor of Finance


Degrees

JD, 1975, New York Law Schl; BA, 1972, Tufts Univ


Bio

The Honey and Arthur Sorin Distinguished Teaching Fellow in Business

Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 o March 2009. He served as the first chief regulatory officer of the New York Stock Exchange, a position he began in March 2004. From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit's planning group, Business Practices Committee and Risk Management Committee.

previously spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as resident of both organizations.

Prior to working at NASD and NASDAQ, Mr. Ketchum was at the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as director of the division of Market Regulation.

In October 2010, Mr. 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 and capability among Americans. He also served on the Joint Advisory Committee on Emerging Regulatory Issues, a committee created by the SEC and CFTC to review emerging regulatory issues, starting with the market events coming out of the May 2010 so­ called "flash-crash."

Mr. Ketchum serves on the Board of Directors of Appleseed, a non-profit network of 16 public interest justice centers in the United States and Mexico dedicated to advancing the rule of law, promoting effective government and creating opportunities for individuals' economic advancement. He also serves on the Board of Directors of St. Barnabas Hospital in the Bronx, New York and as a Trustee for Christ Church in New York City.

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. He is a member of the bar in both New York and the District of Columbia.


Recent Courses Taught

Course Title Level
FIN 257H COMPLIANCE IN FINANCIAL MARKET Graduate