FINRA


FINRA is the Financial Industry Regulatory Authority.





FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.

FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.

We do this by:
writing and enforcing rules governing the activities of more than 4,100 securities firms with approximately 640,425 brokers;
examining firms for compliance with those rules;
fostering market transparency; and
educating investors.

Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.

Every investor in America relies on one thing: fair financial markets. That's why FINRA works every day to ensure that:
every investor receives the basic protections they deserve;
anyone who sells a securities product has been tested, qualified and licensed;
every securities product advertisement used is truthful, and not misleading;
any securities product sold to an investor is suitable for that investor's needs; and
investors receive complete disclosure about the investment product before purchase.

In 2013, through our aggressive vigilance, we brought 1,535 disciplinary actions against registered brokers and firms. We levied more than $65 million in fines. And we ordered more than $9.5 million in restitution to harmed investors. We also referred 660 fraud and insider trading cases to the SEC and other agencies for litigation and/or prosecution.

Learn more about what we do to protect investors and ensure market integrity.
http://www.finra.org/AboutFINRA/


FINRA Executives

Richard G. Ketchum
Chairman & Chief Executive Officer

Gregory Ahern
Executive Vice President for Corporate Communications and Government Relations

Thomas Gira
Executive Vice President, Market Regulation

Marcia E. Asquith
Senior Vice President and Corporate Secretary

Steven A. Joachim
Executive Vice President, Transparency Services

Susan F. Axelrod
Executive Vice President, Regulatory Operations

Tracy Johnson
Senior Vice President, Human Resources

J. Bradley Bennett
Executive Vice President, Enforcement

Steven J. Randich
Executive Vice President and Chief Information Officer

Richard W. Berry
Executive Vice President and Director of Dispute Resolution

Michael Rufino
Executive Vice President, Head of FINRA Member Regulation—Sales Practice

Robert Colby Chief Legal Officer

Thomas M. Selman
Executive Vice President, Regulatory Policy and
Legal Compliance Officer

Carlo V. di Florio
Chief Risk Officer & Head of Strategy

Jonathan S. Sokobin
Chief Economist and Senior Vice President

Todd T. Diganci
Executive Vice President and Chief Financial Officer

Gerri Walsh
President, FINRA Investor Education Foundation
Senior Vice President, FINRA Investor Education

Cameron Funkhouser
Executive Vice President, Office of Fraud Detection and Market Intelligence

 Bill Wollman
Executive Vice President, Member Regulation—Risk Oversight and Operational Regulation (ROOR)

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Richard G. Ketchum
Chairman and Chief Executive Officer

Richard Ketchum is Chairman and CEO of FINRA.

Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to 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, he spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president 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 February 2014, Mr. Ketchum was appointed by President Obama to serve on the President's Advisory Council on Financial Capability for Young Americans. In October 2010, he 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 is Chairman of the FINRA Investor Education Foundation. He also 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.

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.

http://www.finra.org/AboutFINRA/Leadership/p019335


Gregory Ahern

Executive Vice President for Corporate Communications and Government Relations

F. Gregory Ahern, Executive Vice President for Corporate Communications and Government Relations, is responsible for FINRA’s media, government relations, member relations and investor education programs, and oversees FINRA's editorial, production, design and multimedia communications services.

Previously, Mr. Ahern was the Chief Public Communications Officer for the Investment Company Institute (ICI), where he was responsible for all strategic communications. Prior to joining ICI, he was Senior Vice President of Marketing and Communications at Jennison Associates, and from 1994 to 2002, served as Senior Vice President for External Affairs at State Street Corporation. From 1985 to 1994, Mr. Ahern was head of marketing and communications at The Boston Company.

Mr. Ahern began his career as a banker and held various private banking positions in the United States and in London. He received his bachelor of arts degree from Brown University, and serves on the board of the Westerly Hospital Foundation and Employee Benefit Research Institute.

Executive Vice President, Market Regulation

Thomas Gira is the Executive Vice President of FINRA's Market Regulation Department, which provides regulatory services to The Nasdaq Stock Market's family of U.S. markets, The New York Stock Exchange's family of U.S. markets, the International Securities Exchange and Direct Edge. The department also regulates over-the-counter trading of exchange-listed and non-exchange-listed securities, as well as corporate debt and municipal securities.


Mr. Gira joined FINRA in 1993 and was appointed to this position in 2005. Before being named to his current role, Mr. Gira was Senior Vice President of Market Regulation and Associate General Counsel of The NASDAQ Stock Market, Inc. From 1986 to 1992, he served as a Staff Attorney and Branch Chief for Options and Derivative Products Regulation within the Division of Trading & Markets at the SEC.


Mr. Gira received his bachelor's degree in economics from Wake Forest University and his law degree from the University of Maryland.