FINRA Promotes Stephanie Dumont to Head Market Regulation and Transparency Services

FINRA announced that it has promoted Stephanie Dumont, formerly Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, to the role of Executive Vice President and Head of Market Regulation and Transparency Services, effective immediately. Dumont will report to President and CEO Robert W. Cook and join FINRA's Management Committee.

As seen on her LinkedIn profile, Dumont has been with FINRA for 22 years. Prior to joining FINRA, she worked as Director of Compliance for a broker-dealer compliance consulting firm. Before that, she conducted investigations for NASD's Market Regulation Department in areas such as insider trading, manipulation, fraud, short selling and options.

Dumont is a graduate of the University of Virginia with a bachelor degree in Finance and Management and holds a J.D. from the University of Virginia School of Law.

"Effective regulation and transparency are essential to the function of vibrant securities markets and have always been at the core of my work," Dumont said. "I know firsthand the deep commitment of my colleagues to ensuring the integrity of our markets, so that investors can participate with confidence. I look forward to leading the department and working with Robert and the rest of the senior management team to advance our important mission."

"Stephanie is widely respected as an expert in market regulation and a vigorous advocate for the interests of investors in our complex and constantly evolving securities markets," Cook said. "Our Market Regulation and Transparency Services Department plays a critical role in our mission of investor protection and market integrity, and we look forward to her leadership of this outstanding team."