FacultyFaculty/Author Profile

Stephanie Nicolas

WilmerHale 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 (Second Edition), Tuesday, May 22, 2018
Privacy of Client Financial Information - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Live Seminar  Live Seminar Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
Live Webcast  Live Webcast Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New Brunswick , NJ
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Indianapolis, IN
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Atlanta, GA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Pittsburgh, PA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Boston, MA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Philadelphia, PA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Mechanicsburg, PA
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