Colby S.
About Colby S.
Colby S. serves as Senior Counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission, focusing on market abuse. He has a background in law and finance, with experience in various legal roles, including positions at the U.S. Senate and the Financial Industry Regulatory Authority.
Current Role at U.S. Securities and Exchange Commission
Colby S. serves as Senior Counsel in the Division of Enforcement, specifically within the Market Abuse Unit, at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2017, contributing to the regulatory oversight of market activities and enforcement actions related to market abuse. His role involves analyzing complex financial transactions and ensuring compliance with securities laws.
Previous Experience at U.S. Securities and Exchange Commission
Prior to his current role, Colby S. worked at the SEC in various capacities. He participated in the Student Honors Program in the Division of Examinations focusing on Broker-Dealer Examinations in 2013. He also served as an Attorney Adviser in the Division of Examinations for Broker-Dealer Exams from 2016 to 2017. His experiences at the SEC have provided him with a strong foundation in securities regulation and enforcement.
Legal Experience at Financial Industry Regulatory Authority
Colby S. worked at the Financial Industry Regulatory Authority (FINRA) in the Office of Fraud Detection & Market Intelligence from 2013 to 2016. His focus was on Insider Trading and Private Investment in Public Equity (PIPEs). This role involved investigating potential violations of securities laws and contributing to the enforcement of regulations within the financial industry.
Education and Legal Training
Colby S. earned his Doctor of Law (J.D.) from the University of Iowa College of Law, where he studied from 2010 to 2013. He also studied as a Visiting Student at Georgetown University Law Center. Prior to his law education, he obtained a Bachelor of Arts (B.A.) in Finance from the University of Northern Iowa. His educational background has equipped him with a solid understanding of both legal principles and financial markets.
Early Career and Clerkship Experience
Colby S. began his legal career with a clerkship at the United States Senate Committee on Health, Education, Labor & Pensions in 2013, where he worked for three months. Additionally, he was involved with the Executive Moot Court Board at the University of Iowa College of Law from 2012 to 2013. These early experiences provided him with insights into legislative processes and enhanced his legal research and writing skills.