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“Reflections on Occupy Wall Street” Features Market Regulation Expert

Richard G, Ketchum, the current Chair and CEO of the Financial Industry Regulatory Authority (FINRA) will explore aspects of the Occupy Wall Street movement at an upcoming presentation co-hosted by the Arizona Law Business Law Program and the Business Law Society. The presentation, Reflections on Occupy Wall Street, will be held Monday, March 19, 8:30 - 10:00 a.m., at the College of Law. The series is free and open to members of the University community. As seating is limited, please RSVP at http://tinyurl.com/MundheimRSVP.

Ketchum’s experience in financial markets and their regulation is extensive. He served as CEO of the New York Stock Exchange (NYSE) from 2006 to 2009, having previously worked as the NYSE’s first chief regulatory officer. He was General Counsel to the Corporate and Investment Bank of Citigroup, where he was also a member of their Business Practices and Risk Management Committees. He held the positions of President of the National Association of Securities Dealers (NASD) and the NASDAQ Stock Market, Inc., and prior to that time, worked at the Securities and Exchange Commission (SEC) for fourteen years, many of those as the Director of Market Regulation.

Ketchum will be joined in the discussion by Prof. Robert Mundheim, an Arizona Law Sabbatical Visitor since 2005. Mundheim, the former Dean of the University of Pennsylvania Law School, is currently Of Counsel to Shearman & Sterling. He has served as Senior Executive Vice President and General Counsel of Salomon Smith Barney Holdings Inc, General Counsel to the U.S. Treasury Department, and Co-Chairman of the New York law firm of Fried, Frank, Harris, Shriver & Jacobson. In addition to teaching a spring course in Corporate Governance, Prof. Mundheim mentors students seeking careers in business law.


Posted:03/13/2012
Updated: 03/14/2012