FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to Enforcement and investor protection are greatly appreciated. I thank Chris for his service to FINRA and investors,” said FINRA CEO Robert Cook.
“I am deeply grateful for the opportunity to have worked alongside such talented professionals who are clearly dedicated to doing the right thing,” said Kelly. “It has been an honor to help fulfill FINRA’s important mission.”
Kelly joined FINRA in 2014 and served as Chief Counsel in FINRA’s North Region until early 2018. He held the role of Acting Head of Enforcement from February through August 2023.
FINRA will conduct a search to select a new Deputy Head of Enforcement.
About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
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