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FINRA Names New Executive Vice President and Head of Market Regulation and Transparency Services

FINRA named Stephanie Dumont as Executive Vice President and Head of Market Regulation and Transparency Services.

Ms. Dumont previously served as Senior Vice President and Director of Capital Markets Policy for FINRA's Office of the General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation.

In her new role, Ms. Dumont will report to FINRA President and CEO Robert W. Cook, and will join FINRA's Management Committee.

Primary Sources

  1. FINRA Press Release: FINRA Promotes Stephanie Dumont to Head Market Regulation and Transparency Services

Tags

Regulated Activities
Governance
Sub-Activity
Regulatory Personnel Changes
Regulated Entities
Regulatory Agencies
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA