Stephanie Mumford

Stephanie Mumford is the Chief Compliance Officer of T. Rowe Price Investment Services, Inc., and T. Rowe Price Advisory Services, Inc. within the Legal/Compliance Division of T. Rowe Price. Recently, her role has broadened to include the Head of North America Retail Compliance at T. Rowe Price. Stephanie provides guidance related to broker/dealer activities regarding distribution of registered securities, 529 plans, brokerage accounts and private placements. Additionally, she provides investment advisory guidance on electronic tools including robo advice and advisory planning services. Prior to joining T. Rowe Price, Stephanie served as special counsel for the Securities and Exchange Commission (SEC) in the Division of Trading and Markets. She previously held the position of senior counsel in SEC’s Office of Compliance Inspections and Examinations. Before her experience at the SEC, Stephanie worked at the Financial Industry Regulatory Authority (FINRA) as counsel in FINRA’s Market Regulation Department. In addition, she previously held compliance positions at Linsco/Private Ledger (LPL Financial Services) and The Vanguard Group. Stephanie received her B.A. from Washington and Jefferson College, her M.B.A. from Clemson University, and her J.D. from the University of San Diego School of Law. She is a Series 4, 7, 24, and 53 registered representative and is a member of the New York State Bar Association.

2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED)