By John D'Antona Editor, Traders Magazine

Thomas Sexton to Succeed Daniel Roth as NFA President and CEO on March 1, 2017

11.21.2016 By John D'Antona Editor, Traders Magazine


NFA.org – Chicago—NFA announced today that its Board of Directors appointed Thomas Sexton, to serve as NFA’s President and CEO, effective March 1, 2017. Daniel Roth, NFA’s President and CEO, who announced his retirement in May 2016, will work closely with NFA’s Board and Mr. Sexton during this important transition.

This appointment is the culmination of an extensive search and selection process. In May 2016, NFA’s Board of Directors authorized the formation of a search committee, chaired by Michael Dawley, NFA Board Chairman, and made up of existing Board members and other well-respected individuals with significant knowledge of the derivatives industry and NFA’s important regulatory role. The search committee engaged an executive search firm with extensive experience working in the financial services and regulatory sectors to assist in this important undertaking. After a rigorous process that considered many excellent candidates, the search committee unanimously recommended Mr. Sexton for the role of President and CEO. NFA’s Board of Directors unanimously approved this appointment during its meeting yesterday.

“Selecting a strong successor who will continue our mission has been of the utmost importance for NFA’s Board,” says Mr. Dawley. “After going through a robust search process, the Board is even more confident that Tom is the right person to ensure that NFA fulfills its expanding regulatory responsibilities and addresses the new challenges in the years ahead. His deep understanding of the derivatives market and its regulatory framework will benefit NFA as it continues to evolve under his leadership.”

“Over the past several years, Tom has been exposed to every facet of NFA’s operations, from technology to swaps compliance to registration to NFA’s finances. He has the support of the Board and the senior management team and is best positioned to extend NFA’s current direction into the future,” says Mr. Roth. “I can’t think of anyone more qualified for this important role.”

Mr. Sexton joined NFA in 1991 as an attorney and subsequently was promoted to Assistant General Counsel in 1998, and to General Counsel and Secretary in 2001. Mr. Sexton holds a law degree and a Bachelor of Arts degree in Government from the University of Notre Dame and an MBA degree from Loyola University.

I am honored to be selected as NFA’s CEO,” says Mr. Sexton. “I look forward to building upon Dan’s success and working with NFA’s Board and staff, Members, the CFTC and other industry leaders, to ensure NFA continues to safeguard market integrity.”

NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency (forex) and OTC derivatives (swaps). For more than 30 years, NFA has developed and enforced rules and programs to safeguard market integrity, protect investors and ensure Members meet their regulatory responsibilities. NFA’s membership currently numbers nearly 4,000 Members and more than 54,000 associates. For more information, please visit www.nfa.futures.org.

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