Biography
Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working closely with the SEC and the exchanges, the Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal securities laws. The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms.
Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, where she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Ms. Dumont also lead the policy, rulemaking and regulatory reporting functions relating to FINRA's market transparency facilities and provided legal counsel for FINRA's participation in various National Market System Plans.
Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.