Chris Stone
About Chris Stone
Chris Stone serves as the Vice President and Business Head of Equity and Debt Capital Markets in the Transparency Services Department at FINRA, where he manages key trade reporting systems and provides strategic guidance on market transparency. He has a background in law and finance, having previously worked at the SEC and studied at Dartmouth College and The George Washington University Law School.
Current Role at FINRA
Chris Stone serves as the Vice President and Equity and Debt Capital Markets Business Head within the Transparency Services Department at the Financial Industry Regulatory Authority (FINRA). He has held this position since 2005, contributing to the organization's efforts in market transparency. Stone manages the TRACE fixed income trade reporting system, a critical component of FINRA's initiatives to enhance market transparency. Additionally, he oversees the Alternative Display Facility (ADF), which allows market participants to display quotes and report trades. His role also includes managing the operations of the OTC Reporting Facility (ORF) and the Trade Reporting Facilities (TRFs), which are vital for trade reporting in over-the-counter markets.
Education and Expertise
Chris Stone has a solid educational background, having studied at Dartmouth College where he earned a Bachelor of Arts degree from 1990 to 1994. He furthered his education at The George Washington University Law School, obtaining a Juris Doctor degree from 1996 to 1999. Prior to his college education, he attended Harvard-Westlake School from 1986 to 1990. His academic achievements have provided him with a strong foundation in both business and law, which supports his expertise in regulatory and compliance issues in the financial markets.
Previous Experience at SEC
Before joining FINRA, Chris Stone worked at the U.S. Securities and Exchange Commission (SEC) as Senior Special Counsel to the Director of the Division of Market Regulation from 2001 to 2005. In this role, he was involved in regulatory oversight and contributed to the development of market regulations. His experience at the SEC has equipped him with valuable insights into market structures and compliance, which he applies in his current role at FINRA.
Responsibilities in Transparency Services Department
In his capacity as Vice President, Chris Stone is responsible for the strategic planning and financial management of the Transparency Services Department at FINRA. He provides policy guidance and strategic recommendations on regulatory and compliance issues related to fixed income and equity market structures. His leadership in this department plays a significant role in enhancing the transparency and efficiency of financial markets.