Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

×

Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

FINRA announces CEO transition

Joe Mont | June 14, 2016

The Financial Industry Regulatory Authority’s Board of Governors has concluded its CEO search, and appointed Robert W. Cook as president and chief executive officer, effective the second half of 2016. Cook will succeed Richard Ketchum, who has served as Chairman and CEO since 2009. The Board intends to name a new chairman in the coming months.

Cook joins FINRA from the law firm of Cleary Gottlieb Steen & Hamilton, where he has served as a partner in its Washington, D.C., office since June 2013. While at Cleary Gottlieb, his work focused on the regulation of securities markets and market intermediaries, including broker-dealers, exchanges, alternative trading systems and clearing agencies.

Prior to joining Cleary Gottlieb, Cook served as the director of the Securities and Exchange Commission’s Division of Trading and Markets from 2010 to 2013. He also...

Read this single article for $49, or click the subscribe button below to review subscription options.

Enjoy unlimited access to thousands of articles, browse five years of digital magazines, qualify for reduced admission to events, and more.