Robert L. D. Colby

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Robert L. D. Colby
Occupation Chief Legal Officer
Employer Financial Industry Regulatory Authority (FINRA)
Location Washington, D.C.
Website www.finra.org

Robert L. D. Colby is the chief legal officer for the Financial Industry Regulatory Authority (FINRA), effective June 18, 2012. He was appointed in May 2012 and oversees corporate and regulatory operations of the Office of General Counsel and the Regulatory Policy Group.[1]

Background

Colby has most recently served as a partner at Davis Polk & Wardwell LLP in Washington, D.C., and focused on regulatory and compliance matters involving securities and derivatives for broker-dealers, financial institutions, markets and clearing organizations.[2] From 1993 to 2009, Colby worked as the deputy director of the U.S. Securities and Exchange Commission's {SEC) Division of Trading and Markets. There he was responsible for the regulation of broker-dealers, securities markets, and clearing organizations. Before that, he was chief counsel of the Division, as well as the chief of the Division’s Branch of Market Structure, for 11 years.

Education

  • JD, Law, Harvard Law School (1977 – 1980)
  • BA, History, Economics, Bowdoin College (1973 – 1977)
  • Staples High School (1970 – 1973)[3]

References

  1. FINRA Names Robert L. D. Colby Chief Legal Officer. FINRA.
  2. Colby, Robert L. D.. Dais Polk & Wardwell LLP.
  3. Robert L. D. Colby. LinkedIn.