finra

Robert Colby


Chief Legal Officer

 

Photo of Martin Colburn

Robert Colby joined FINRA in June 2012 as its Chief Legal Officer. In this capacity, he directs FINRA's regulatory and corporate General Counsel functions and supervises FINRA's Advertising, Corporate Financing, and Investment Companies Regulation programs.

 

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 capacity, 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.

 

Mr. Colby received his undergraduate degree from Bowdoin College and earned his J.D. from Harvard Law School.