FacultyFaculty/Author Profile
Stephanie  Nicolas

Stephanie Nicolas

WilmerHale LLP

Washington, DC, USA


Stephanie Nicolas is a partner in the Securities Department at WilmerHale LLP, and a member of the Broker-Dealer Compliance and Regulation and Futures and Derivatives Practices. Works with major investment banking firms, broker-dealers, and other financial institutions in responding to regulatory and enforcement actions and developing comprehensive compliance and supervisory procedures for a range of broker-dealer activities, including: research activities; firm-wide supervision; information barriers; surveillance procedure; and sales and trading issues.

Personal

JD, magna cum laude, Georgetown University Law Center, 1999, Order of the Coif; BA, Brown University, 1994.

Stephanie Nicolas is associated with the following items:
Web Segment  Web Segment Broker-Dealer Exam Priorities and Hot Topics - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
MP3 Audio  MP3 Audio Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
Transcripts  Transcripts Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2018, Monday, July 30, 2018, New York, NY
Treatise Chapters  Treatise Chapters Mark-Ups - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Privacy of Client Financial Information - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
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