Stephanie Nicolas is a partner in the firm’s Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Futures and Derivatives Practice Groups. She joined the firm in 2001. Ms. Nicolas has extensive experience handling a broad range of broker-dealer regulatory and enforcement issues and conducting internal reviews and compliance audits.
She works with major investment banking firms, broker-dealers and other market participants to provide advice and develop policies and procedures for a broad range of securities issues and activities, including: information barriers and conflicts of interest; research activities; firm-wide supervision; trading and sales practices; capital markets; regulatory reporting and technology; and cross-border issues.
Ms. Nicolas has co-authored several articles on broker-dealer regulation, is a contributor to the Practicing Law Institute (PLI) Broker-Dealer Regulation treatise and speaks frequently at seminars sponsored by the Securities Industry and Financial Markets Association (SIFMA), PLI, and other organizations.
In 2018, she spoke at SIFMA’s Annual Legal & Compliance Seminar (Research Conflicts of Interest), SRP’s Annual Americas Structured Products and Derivatives Conference (SEC Standards of Conduct and Proposed Regulation Best Interest), and PLI’s Fundamentals of Broker-Dealer Regulation Conference.