Robert Colby

Executive Vice President & Chief Legal Officer at Financial Industry Regulatory Authority, Inc.

Robert Colby

Robert Colby

Executive Vice President & Chief Legal Officer at Financial Industry Regulatory Authority, Inc.

Biography

As Chief Legal Officer of FINRA, Robert Colby oversees FINRA's rulemaking, interpretive, and corporate legal functions, as well as FINRA's Appellate Office, Office of Financial Innovation, and Departments of Advertising, Corporate Financing, and Dispute Resolution.

Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.

Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC's Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director of the Division, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.

Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Overview
RelSci Relationships

3599

Relationships
RelSci Relationships are individuals Robert Colby likely has professional access to. A relationship does not necessarily indicate a personal connection.

Chief Economist & Senior Vice President at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

President & Chief Executive Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Information Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Head of Member Regulation-Sales Practice at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Head, Office of Financial & Operational Risk Policy-Office of General Counsel at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

President & Chief Executive Officer at The Depository Trust & Clearing Corp.

Relationship likelihood: Strong

Former Chief Executive Officer & President at Federal Reserve Bank of Minneapolis

Relationship likelihood: Strong

Executive Vice President & Director, Office of Dispute Resolution at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Governor at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Financial Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Paths to Robert Colby
Potential Connections via
Relationship Science
You
Robert Colby
Executive Vice President & Chief Legal Officer at Financial Industry Regulatory Authority, Inc.
Education
Undergraduate Degree

Bowdoin College is an independent, nonsectarian, coeducational residential, undergraduate liberal arts institution founded in 1794. It is located in Brunswick, ME.

JD

Harvard Law School offers an energetic and creative learning environment, a diverse and dedicated faculty—whose expertise spans a broad array of legal subjects—and a student body that comes from every state in the U.S. and more than 70 countries around the world. Approximately 1,900 students attend HLS each year: 1,680 J.D. students, 160 LL.M. students, and 50 S.J.D. candidates. The faculty includes more than 100 full-time professors and more than 150 visiting professors, lecturers on law, and instructors. The curriculum features more than 260 courses and seminars that cover a broad range of traditional and emerging legal fields. A Harvard Law education prepares students for success in law practice, business, public service, teaching, and more. Most HLS students are pursuing a J.D. (Juris Doctor) degree, while many others are earning an LL.M. (Master of Laws) or the S.J.D. (Doctor of Juridical Science). Harvard Law School also offers many joint degree programs, coordinated programs, and concurrent degree opportunities with other schools within Harvard University. The Law School community is also home to numerous research programs and engaging publications, including books, scholarly periodicals, newsletters, and a weekly student newspaper.

Career History
Executive Vice President & Chief Legal Officer
2012 - Current

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

Partner
2009 - Prior

Davis Polk & Wardwell LLP offers legal solutions to areas such as capital markets, mergers and acquisitions, credit, insolvency, and restructuring, investment management, tax, and litigation. Based in New York, the company was founded by Francis N. Bangs in 1849.

Deputy Director, Division of Trading & Markets
Prior

The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. The SEC was created by Section 4 of the Securities Exchange Act of 1934.

Boards & Committees
Member, Businesses, Technology & Operations Committee
2013 - ?

The Depository Trust & Clearing Corp. provides clearance, settlement and information services. It offers clearing; matching; settlement and asset; wealth and collateral management; derivatives; and data services. The company was founded in 1999 is headquartered in New York, NY.

Transactions
Details Hidden

Bats Global Markets, Inc. purchases CBOE Chi-X Europe Ltd. from Nomura International Plc, Citigroup Financial Products, Inc., Nomura Holdings, Inc., Credit Suisse Group Finance (Guernsey) Ltd., Citadel Derivatives Trading Ltd., Optiver Holding BV, UBS AG (London Branch), Morgan Stanley & Co. International Plc, Instinet Holdings Ltd., GETCO Europe Ltd., ML UK Capital Holdings Ltd.

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Robert Colby. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Robert Colby's profile does not indicate a business or promotional relationship of any kind between RelSci and Robert Colby.