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

Robert L.D. Colby
Executive Vice President, Chief Legal Officer

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.

Overview
RelSci Relationships

3676

Number of Boards

1

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

Relationship likelihood: Strong

Executive Chairman at The Depository Trust & Clearing Corp.

Relationship likelihood: Strong

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

Relationship likelihood: Strong

Executive Vice President & Chief Financial 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

Chief Risk Officer & Head-Strategy at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Chief Economist & Senior Vice President 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 of Member Regulation, Risk Oversight & Operational Regulation at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Senior Vice President, Chief Counsel & Director of Mediation & Strategy at FINRA Dispute Resolution, Inc.

Relationship likelihood: Strong

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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, Board of Directors
2013 - Current

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.
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