WASHINGTON (June 14, 2016) — The following is a statement from Judith Shaw, North American Securities Administrator Association (NASAA) President and Maine Securities Administrator regarding the announcement that Robert W. Cook will serve as President and Chief Executive Office of the Financial Industry Regulatory Authority (FINRA) succeeding Richard G. Ketchum, who has served as Chairman and CEO since 2009.

“NASAA members share Mr. Cook’s commitment to protecting investors while ensuring fair financial markets. NASAA looks forward to building upon the positive working relationship established with Mr. Cook during his tenure at the Securities and Exchange Commission as we address areas of mutual interest, including sales practices involving alternative investment products, financial exploitation of senior investors, expungement, and arbitration. I look forward to meeting with Mr. Cook to commence a constructive dialogue on these and other issues facing investors in our local communities.”

—NASAA —

For More Information:
Bob Webster | Director of Communications
202-737-0900





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