Robert W. Cook

President & Chief Executive Officer at Financial Industry Regulatory Authority, Inc.

Robert W. Cook

Robert W. Cook

President & Chief Executive Officer at Financial Industry Regulatory Authority, Inc.

Biography

Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.

From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff's review of equity market structure.

Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner at Cleary, Gottlieb, Steen & Hamilton, LLP, based in Washington, DC. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.

Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.

Overview
Career Highlights

Financial Industry Regulatory Authority, Inc.

RelSci Relationships

2296

Number of Boards

2

Number of Awards

3

Contact Data
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Relationships
RelSci Relationships are individuals Robert W. Cook likely has professional access to. A relationship does not necessarily indicate a personal connection.

Former Chief Regulatory Officer at NYSE Group, Inc.

Relationship likelihood: Strong

Chief Economist & Senior Vice President at Financial Industry Regulatory Authority, Inc.

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Executive Vice President & Chief Legal Officer at Financial Industry Regulatory Authority, Inc.

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President & Chief Executive Officer at Planned Investment Co., Inc.

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Executive Vice President & General Counsel at Financial Industry Regulatory Authority, Inc.

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Senior Fellow-Economic Studies, Governance Studies, Metropolitan Policy Program & Director-Race, Prosperity & Inclusion Initiative at The Brookings Institution

Relationship likelihood: Strong

Executive Vice President & Director, Dispute Resolution Services at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Governor at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Information Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

President at Finra Investor Education Foundation

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Robert W. Cook
President & Chief Executive Officer at Financial Industry Regulatory Authority, Inc.
Education
JD
Class of 1992

Harvard Law School offers an energetic and creative learning environment, a diverse and dedicated faculty—whose expertise spans a broad array of legal subjects—and a student body that comes from every state in the U.S. and more than 70 countries around the world. Approximately 1,900 students attend HLS each year: 1,680 J.D. students, 160 LL.M. students, and 50 S.J.D. candidates. The faculty includes more than 100 full-time professors and more than 150 visiting professors, lecturers on law, and instructors. The curriculum features more than 260 courses and seminars that cover a broad range of traditional and emerging legal fields. A Harvard Law education prepares students for success in law practice, business, public service, teaching, and more. Most HLS students are pursuing a J.D. (Juris Doctor) degree, while many others are earning an LL.M. (Master of Laws) or the S.J.D. (Doctor of Juridical Science). Harvard Law School also offers many joint degree programs, coordinated programs, and concurrent degree opportunities with other schools within Harvard University. The Law School community is also home to numerous research programs and engaging publications, including books, scholarly periodicals, newsletters, and a weekly student newspaper.

MSc
Class of 1989

LSE was founded in 1895 and has grown to become one of the foremost social science universities in the world, ranked alongside Harvard, UC Berkeley and Stanford. A specialist university with an international intake, LSE's reach extends from its central London campus to around the world. The School has a cosmopolitan student body, with around 9,500 full time students from 140 countries It has a staff of just over 3,000, with about 46 per cent drawn from countries outside the UK Over 100 languages are spoken on LSE's campus An influential network of over 160,000 LSE alumni spans the world, covering over 190 countries with more than 80 active alumni groups.

AB
Class of 1988

The oldest corporation in the Western Hemisphere is the Harvard Corporation, known formally as the President and Fellows of Harvard College. It is the smaller of Harvard’s two governing boards; the other is the Board of Overseers. Following are the members of the Harvard Corporation.

Career History
President & Chief Executive Officer
2016 - Current

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

Director of the Division of Trading & Markets
2010 - 2013

The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. The SEC was created by Section 4 of the Securities Exchange Act of 1934.

Partner
1992 - 2016

Cleary Gottlieb Steen & Hamilton LLP is an international law firm that provides legal services to clients. The company serves multinational corporations, international financial institutions, sovereign governments and their agencies, and domestic corporations and financial institutions. The company was founded in 1946 and it is headquartered in New York, NY.

Advisors
Senior Advisor

Chief Supervisory Officer at Merrill Lynch Wealth Management

Senior Advisor

Senior Advisor, Office of the Chief Executive Officer at Financial Industry Regulatory Authority, Inc.

Awards & Honors
1994
Admitted to District of Columbia Bar
1993
Admitted to the Massachusetts Bar
1992
Admitted to the Pennsylvania Bar
Events
Speaker
Renaissance Washington, DC Downtown Hotel-Washington, DC
FINRA 2012 Annual Conference

Peers and Regulators Exchange Ideas on Today's Most Challenging Compliance and Regulatory Topics

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