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NYSE Regulation Appoints Interim CEO

The Board of Directors of NYSE Regulation has appointed James Duffy to serve as interim CEO effective March 16.

Duffy was appointed executive vice president and general counsel of NYSE Regulation in January of 2006.

In a statement, Shirley A. Jackson, Chairman of the Board, NYSE Regulation, said, “Jim has been a wise counselor to the entire organization and is a great choice to lead NYSE Regulation while the Board continues its deliberative process. We are very pleased that Jim is able and willing to step into this new role.”

Richard Ketchum, the current NYSE Regulation CEO, has resigned in order to become FINRA’s next CEO.

NYSE Regulation is not-for-profit corporation that focuses on strengthening market integrity and investor protection. It is a subsidiary of NYSE Euronext and through its three divisions – Market Surveillance, Enforcement and Listed Company Compliance – regulates equities and options trading and listing compliance for the New York Stock Exchange, NYSE Arca and NYSE Amex.

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