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Stephanie Nicolas

WilmerHaler LLP

Washington, DC, USA


Stephanie Nicolas, a partner in the Broker-Dealer Regulatory and Compliance Group at WilmerHale, works with major investment banking firms, broker-dealers, and other financial institutions to develop comprehensive compliance and supervisory procedures for a range of broker-dealer activities, including research activities (analyst conflicts of interest), firm-wide supervision, information barriers (“Chinese Walls”) and surveillance procedures, trading issues, and sales practice issues.
Stephanie Nicolas is associated with the following items:
Treatise Chapters  Treatise Chapters Mark-Ups - Broker-Dealer Regulation , Monday, November 21, 2011
Privacy of Client Financial Information - Broker-Dealer Regulation , Monday, November 21, 2011
CHB Chapters  CHB Chapters Outsourcing Back-Office Functions to Third-Party Service Providers: Supervisory Responsibilities and Best Practices - Broker-Dealer and Adviser Regulatory Compliance Forum 2012 , Wednesday, February 22, 2012
Overview of Recent FINRA Rulemaking Regarding Communications with the Public and Suitability Obligations - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013
Audio CD  Audio CD Broker-Dealer and Adviser Regulatory Compliance Forum 2012 , Wednesday, March 21, 2012 , New York, NY
DVD Video  DVD Video Broker-Dealer and Adviser Regulatory Compliance Forum 2012 , Wednesday, April 04, 2012 , New York, NY
Web Segment  Web Segment Broker-dealer and Adviser Advertising Developments - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Friday, February 22, 2013
Transcripts  Transcripts Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Friday, February 22, 2013
MP3 Audio  MP3 Audio Broker-Dealer and Adviser Regulatory Compliance Forum 2013: Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Monday, February 25, 2013
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer and Adviser Regulatory Compliance Forum 2013: Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Monday, February 25, 2013
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, March 06, 2013 , New York, NY
LiveSeminar  Live Seminar Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013 , New York, NY
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