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Robert L.D. Colby

Robert L.D. Colby

FINRA
Chief Legal Officer
Washington, DC, USA


Robert L.D. Colby is the Chief Legal Officer of FINRA, which he joined in June 2012. In this capacity, he oversees FINRA’s corporate and regulatory General Counsel functions, as well as FINRA’s Advertising and Corporate Financing Departments, the Office of Hearing Officers and Dispute Resolution.

Previously, Mr. Colby was a partner in the Washington, DC, office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations.

Before joining Davis Polk in 2009, Mr. Colby served for 17 years as Deputy Director of the Securities and Exchange Commission’s Division of Trading and Markets. In that role, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, for 11 years he was Chief Counsel of the Division and Chief of the Division’s Branch of Market Structure.

Robert L.D. Colby is associated with the following items:
Treatise Chapters  Treatise Chapters What Is a Broker-Dealer? - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
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