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Recognizing Leaders

The FINRA Foundation honors leaders who are committed to understanding and improving investor protection and financial capability in the United States. The Ketchum Prize recognizes outstanding service and research to advance financial capability and investor protection in the U.S. The NFCS Research Award recognizes early-career researchers leading efforts to understand and address the challenges Americans face in building financial capability. 

The Ketchum Prize

Shawn Spruce

2021 Ketchum Prize Award Recipient

Shawn Spruce
Consultant, First Nations Development Institute

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The Ketchum Prize—honoring Richard G. Ketchum, the former chairman and CEO of the Financial Industry Regulatory Authority and a distinguished leader in the field of securities regulation—recognizes outstanding service and research to advance investor protection, financial capability and financial inclusion in the U.S. The prize is awarded annually by the FINRA Investor Education Foundation. The prize includes a $10,000 honorarium and national recognition.

In awarding the Ketchum Prize, the FINRA Foundation gives priority to nominees that:

  • Made demonstrable improvements to investor protection, financial capability or financial inclusion in the U.S. through research, education or public communications.
  • Addressed the needs or circumstances of underserved audiences.
  • Modeled effective collaboration or partnership-building.
  • Emphasized data analysis and data application in efforts to advance investor protection, financial capability or financial inclusion.

The FINRA Foundation is now accepting nominations for the 2022 Ketchum Prize. The nomination deadline is March 3, 2022. For details about how to submit a nomination, please refer to the Nomination Form. If you have questions about the Ketchum Prize, please contact the FINRA Foundation’s Robert Ganem.

Past Recipients of The Ketchum Prize

2020 Recipient: Michael Morris

2019 Ketchum Prize Recipient: Olivia Mitchell National Disability Institute
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2019 Recipient: Olivia Mitchell

2019 Ketchum Prize Recipient: Olivia Mitchell The Wharton School,
University of Pennsylvania
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2018 Recipient: Annamaria Lusardi

2018 Ketchum Prize Recipient: Annamaria Lusardi George Washington University
School of Business
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2017 Recipient: J. Michael Collins

2017 Ketchum Prize Recipient: J. Michael CollinsUniversity of
Wisconsin-Madison
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NFCS Research Award

Blain Pearson

2021 NFCS Research Award Recipient

Blain Pearson
Kansas State University

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The FINRA Foundation’s NFCS Research Award recognizes a graduate student, post-doc, or any faculty member who received a Ph.D. within the past three years and produces an outstanding research paper based on data from the FINRA Foundation’s National Financial Capability Study.

In addition to providing a $1,000 prize to the award recipient, the FINRA Foundation publishes and promotes an issue brief based on the winning research as part of its Insights: Financial Capability series. The FINRA Foundation does not prevent the award recipient from publishing the research paper elsewhere. The FINRA Foundation also sponsors registration and travel costs to and from the ACCI annual conference where the award recipient is honored during a plenary session.

Applications are not currently being accepted. For questions about the NFCS Research Award, please contact the FINRA Foundation’s Olivia Valdes (561-443-8166).

Past Recipients of the NFCS Research Award


2020 Recipient: Richard Stebbins

2020 Ketchum Prize Recipient: Richard StebbinsWhat We Leave Behind: Financial Education and Estate Planning
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2019 Recipient: Sunwoo Lee

2019 Ketchum Prize Recipient: Sunwoo LeeMillennials' Credit Card Management: Ways to Improve through Planning and Financial Knowledge
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2018 Recipient: Melody Harvey

2018 Ketchum Prize Recipient: Melody HarveyDoes State-Mandated Financial Education Affect High-Cost Borrowing?
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