InvestmentNews’ Power 20
Chief executive of the Financial Industry Regulatory Authority Inc.
“Rick has really shown tremendous willingness to listen and is acutely aware of the issues that are out there,” said Ken Norensberg, managing director of Luxor Financial Group Inc. and one of three small-firm Finra board members who successfully challenged candidates nominated by a Finra committee in the board election last August.
Previous positions
• Chief executive of NYSE Regulation Inc.
• Chief regulatory officer of the New York Stock Exchange
• President, NASD
• President, The Nasdaq Stock Market Inc.