[ by Howard Haykin ]

To see who's running The show at FINRA, you need a scorecard of the C-I's presentation of the Executive Team.  We all are familar with Richard 'Rick' Ketchum, FINRA Chairman and CEO.  To see who follows, read on... 

FINRA Executives

First Tranche:

1. Richard G. Ketchum         Chairman & Chief Executive Officer
2. Gregory Ahem                  EVP , Corp. Communications & Gov't Relations
3. Linda D. Fienberg            President, FINRA DR, & Chief Hearing Officer
4. Marcia E. Asquith             SVP & Corp. Secretary
5. Tracy Johnson                  SVP, Human Resources
6. Susan Axelrod                  EVP, Regulatory Operation
7. Steven J. Randich             EVP & Chief Information Officer

Second Tranche (Thursday) :

8. J. Bradley Bennett            EVP, Enforcement
9. Thomas M. Selman           EVP, Regulatory Policy
10. Martin Colburn                  EVP & Chief Technology Officer
11. Grace B. Vogel                 EVP, Member Regulation
12. Robert Colby                    Chief Legal Officer
13. Gerri Walsh                      President, FINRA Investor Educ. Fdn  & SVP, Investor Educ.
14. Todd Diganci                     EVP & Chief Financial Officer

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And Now, Profiles of the First Seven:

Richard G. Ketchum,  Chairman & CEO.   Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to March 2009.  He created the first Chief Regulatory Officer at the NYSE. a position he began in March 2004. From June 2003 to March 2004, Mr. Ketchum served as General Counsel of Citigroup's Corporate and Investment Bank, Rick also was a member of the unit's planning group, Business Practices Committee, and Risk Management Committee.

Earlier on, Rick Ketchum spent 12 years at NASD and The Nasdaq Stock Market, serving as president of both organizations.  He spent 14 years at the SEC - 8 of which as director of the Division of Market Regulation.

In October 2010, President Obama appoint Mr. Ketchum to the President's Advisory Council on Financial Capability - a group established to promote and enhance financial literacy and capability among Americans.  He also serves on the Joint Advisory Committee on Emerging Regulatory Issues, that reviews emerging regulatory issues, starting with the events of the May 2010 Flash Crash. 

Rick Ketchum, finally, serves on the Board of Directors of Appleseed, a non-profit network of 16 public interest justice centers in the U.S. and Mexico, dedicated to advancing the rule of law, promoting effective government and creating opportunities for individuals' economic advancement.

He earned his JD from NYU Law in 1975, and his Bachelor's from Tufts in 1972.  He was admitted as a member of the bar in both New York and the District of Columbia.

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