Richard Ketchum served as the chief regulatory officer of the New York Stock Exchange, chief executive officer of NYSE Regulation, and as the executive chairman of the Financial Industry Regulatory Authority. Earlier in his career, Mr. Ketchum served as the director of the SEC’s Division of Market Regulation. This interview is divided into two audio files and related transcripts. See the explanation for each recording below.
Part I – Mr. Ketchum discusses his early career, the SEC’s evolving role in market regulation after the 1975 Act, the rise of options and futures markets, regulatory responses to the 1987 crash, and efforts to address internationalization and corporate governance challenges at the SEC.
Part II – He discusses his career transitions from the SEC to NASDAQ and ultimately to NYSE Regulation.