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Stephanie Dumont

Stephanie Dumont is Senior Vice President and Director of Capital Markets Policy for FINRA’s Office of General Counsel, where she is responsible for developing and interpreting FINRA rules and providing legal and policy advice to FINRA management and staff.� In particular, Ms. Dumont is responsible for managing the policy and rulemaking legal team in areas relating to trading practices, market integrity, order audit trails, and market structure for equity, options and fixed income securities.� This includes order and trade reporting requirements, order handling and display rules, market-making requirements, trading halts, circuit breakers, SEC Rule 17d-2 agreements, Regulation NMS and short selling.� In this role, she also supports the policy, rulemaking and regulatory reporting (e.g, Regulation SCI compliance) functions relating to FINRA’s quoting and trading mechanisms including the Alternative Display Facility (ADF), Trade Reporting Facilities (TRFs), the OTC Bulletin Board (OTCBB), the OTC Reporting Facility (ORF) and Trade Reporting and Compliance Engine (TRACE).� With respect to the operation of these facilities, she also provides legal support for FINRA’s participation in several NMS Plans, including Limit Up/Limit Down and Tick-Size Pilot Plans.� Ms. Dumont has served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA.�Prior to joining FINRA’s Office of General Counsel in 1999, 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.�