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FINRA Announces CEO Transition

June 13, 2016

The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, effective the second half of 2016. Mr. Cook will succeed Richard G. Ketchum, who has served as Chairman and CEO since 2009. The Board intends to name a new Chairman in the coming months.

Mr. Cook will join FINRA from Cleary Gottlieb Steen & Hamilton LLP, where he has served as a partner in the firm’s Washington, DC, office since June 2013. While at Cleary Gottlieb, he has 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, Mr. Cook served as the Director of the Division of Trading and Markets (Division) of the U.S. Securities and Exchange Commission (SEC) from 2010 to 2013. Under his direction, the Division’s 250 professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. He also directed the staff’s review of equity market structure and its analysis of the Flash Crash of May 6, 2010. Prior to joining the SEC, Mr. Cook served as a partner at Cleary Gottlieb since 2001, and joined the firm in 1992.


June 13, 2016
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