Exchanges

10:26 AM
Connect Directly
RSS
E-Mail
50%
50%

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.

Comment  | 
Print  | 
More Insights
Register for Wall Street & Technology Newsletters
White Papers
Current Issue
Wall Street & Technology - July 2014
In addition to regular audits, the SEC will start to scrutinize the cyber-security preparedness of market participants.
Video
Exclusive: Inside the GETCO Execution Services Trading Floor
Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.