News Releases

NYSE Regulation Board of Directors Appoints James F. Duffy Interim CEO

NEW YORK,  March 4, 2009—NYSE Regulation, Inc., today announced that its Board of Directors has selected Executive Vice President and General Counsel James F. Duffy, 60, to serve as Interim CEO of NYSE Regulation. Duffy will begin his new role on March 16.

“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,” said Shirley A. Jackson, Chairman of the Board, NYSE Regulation, Inc. “We are very pleased that Jim is able and willing to step into this new role.”

Duffy’s appointment comes as a result of the resignation of current CEO Richard G. Ketchum, who has accepted an offer from FINRA to become their Chief Executive Officer effective March 16. 

Duffy was appointed Executive Vice President and General Counsel of NYSE Regulation on January 6, 2006. He joined the NYSE in May 1999, and served it as Senior Vice President and Deputy General Counsel until January 2006. For the ten years prior to joining the NYSE, he served as General Counsel at the American Stock Exchange. Earlier in his career he spent several years on the legal staff at GTE Corp. in Stamford, Conn., and was a corporate lawyer with the firm of Lord, Day & Lord in New York. Duffy holds a J.D. from New York University School of Law and a B.A. in Anthropology from Fordham University.

About NYSE Regulation

NYSE Regulation, Inc., is a not-for-profit corporation dedicated to strengthening market integrity and investor protection. A subsidiary of NYSE Euronext (NYSE Euronext: NYX), NYSE Regulation’s board of directors is comprised of a majority of directors unaffiliated with any other NYSE board. Its three divisions (Market Surveillance, Enforcement, and Listed Company Compliance) regulate equities and options trading and listing compliance for the New York Stock Exchange, NYSE Arca, and NYSE Amex. For more information, visit our Web site at

Contact: Scott Peterson
Phone: 212.656.4089