Stephen Wink's practice focuses on advising a wide range of market players including investment banks, hedge funds, private equity firms, proprietary trading firms and other financial institutions.
- Regulation of broker-dealers and investment advisors
- Market Regulation
- Compliance and Enforcement Matters
- Laws and rules under the Securities Exchange Act of 1934
- Rules of the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations
Mr. Wink has in-depth knowledge and broad experience advising financial institutions on regulatory and related matters, gained in part from a decade as general counsel of a full-service investment bank.
Mr. Wink provides regular commentary on regulatory initiatives and rule-making proposals on behalf of clients and trade associations. He has frequently obtained no-action relief and interpretive guidance on behalf of clients from various regulatory bodies, including the Securities and Exchange Commission and FINRA.
Mr. Wink is a former member of various securities industry committees, including the Securities Industry and Financial Markets Association's Federal Regulation Committee, the New York Stock Exchange's Compliance Advisory Committee and was Chair of the Bond Market Association's Municipal Legal Advisory Committee. Mr. Wink is a regular speaker at securities industry conferences.
JD, University of Notre Dame Law School, 1991 (magna cum laude)
Editor-in-Chief: Notre Dame Law Review
BS, State University of New York, Empire State College, 1983
Recognized as one of the country's leading financial services broker dealer regulation lawyers. - Chambers USA