People on the Move: Robert Cook, Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority (FINRA) board of governors has appointed Robert Cook as president and CEO, effective the second half of 2016. Cook will join FINRA from Cleary Gottlieb Steen & Hamilton LLP, where he has served as a partner in the firm’s Washington, D.C., office since June 2013. While at Cleary Gottlieb, he 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, Cook served as the director of the division of trading and markets of the Securities and Exchange Commission from 2010 to 2013. Under his direction, the division’s 250 professionals were responsible for regulatory policy and oversight of broker-dealers, securities exchanges and markets, clearing agencies and FINRA. Cook succeeds Richard Ketchum, who has served as FINRA chairman and CEO since 2009. FINRA intends to name a new chairman in the coming months. Formed in 2007 FINRA is the largest independent regulator for all securities firms doing business in the U.S.
