Stephanie Nicolas is a partner in the firm's Securities Department and a member of the Securities and Financial Services Regulation Group. Ms. Nicolas has extensive experience handling a broad range of securities regulatory and enforcement issues and conducting internal reviews and compliance audits on issues such as: private client and retail wealth management practices (including Reg BI); investment banking, capital markets and syndicate practices; institutional and retail sales and trading; information barriers and conflicts of interest; equity and fixed income research activities; firm-wide supervision and registration; cross-border issues; and regulatory reporting and technology issues. She works with major investment banking firms, broker-dealers and other market participants to provide advice, conduct internal reviews and develop policies and procedures for a broad range of securities issues and activities.

Professional Activities

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. She has spoken at SIFMA conferences on a variety of topics, including Research and Investment Banking Conflicts; Private Client Regulation and Regulation Best Interest; Best Practices for Conducting Compliance Risk Assessments; and Supervision.