FacultyFaculty/Author Profile

Stephanie M. Dumont

FINRA
Senior Vice President and Director of Capital Markets Policy
Office of General Counsel - Regulatory
Washington, DC, USA


Stephanie Dumont is Senior Vice President and Director of Capital Markets Policy for FINRA’s Office of General Counsel, where she manages the policy and rulemaking legal team in areas related to equity, options and fixed income market structure, trading and customer order handling practices, market transparency and order audit trails.  In this role, she supports policy, rulemaking and regulatory reporting (e.g., Regulation SCI compliance) functions of FINRA’s market transparency facilities including the ADF, TRFs, OTCBB, ORF and TRACE.  She also provides legal counsel for FINRA’s participation in various NMS Plans, including UTP/CTA/CQ, Consolidated Audit Trail (CAT), Limit Up/Limit Down and Tick-Size Plans.

Prior to joining FINRA’s OGC, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm.  Prior to that position, Ms. Dumont conducted investigations for FINRA’s (then NASD) Market Regulation Department in areas such as insider trading, fraud, short selling and options.  She earned her B.S. in Finance and Management from the University of Virginia, her J.D. from the University of Virginia School of Law and her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.

Stephanie M. Dumont is associated with the following items:
CHB Chapters  CHB Chapters Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018
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