Stephanie Dumont

Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. The Department conducts extensive oversight of the securities markets through innovative automated surveillance that assesses billions of market events each day. The Department oversees and regulates trading of exchange-listed, unlisted and fixed income securities for compliance with FINRA rules and the federal securities laws. In addition, the Department performs regulatory services (surveillance and investigations) on behalf of 32 equity and options exchange facilities, and its cross-market surveillance program covers the entirety of U.S. equity market and listed options trading activity. The Department also operates facilities that bring transparency to the equity and fixed income markets and create the foundation of the regulatory audit trail, i.e., TRACE (the Trade Reporting and Compliance Engine), the Trade Reporting Facilities, the Alternative Display Facility, and the OTC Reporting Facility.

Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy in FINRA’s Office of General Counsel, where she led the policy and rulemaking team addressing, among other areas, trading and customer order handling practices, order audit trails and FINRA’s market transparency facilities. In addition, Ms. Dumont provided legal counsel for FINRA’s participation in various National Market System Plans, including the Consolidated Audit Trail (CAT), the Securities Information Processors, and the Limit Up/Limit Down 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.