Subject: Robert L.D. Colby

Subject of Interest

Robert L.D. Colby is the Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive and corporate legal functions, as well as Advertising, Corporate Financing and Dispute Resolution Departments, and FINRA’s Hearings and Appellate Offices. Colby received his J.D. cum laude from Harvard Law School. Before joining FINRA, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP,  as well as served as Deputy Director in the Securities and Exchange Commission’s Division of Trading and Markets.

Biography

FINRA

Subject: Robert L. D. Colby

Subject of Interest

Robert L.D. Colby: Depository Trust & Clearing Corporation (DTCC) member of the board. He is Chief Legal Officer of FINRA where he oversees FINRA’s rulemaking, interpretive, and corporate legal functions, as well as FINRA’s Advertising, Corporate Financing and Dispute Resolution Departments, and FINRA’s Appellate Office. Before joining FINRA, Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions and markets.

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