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Stephanie Nicolas is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups. She joined the firm in 2001.
Practice
Ms. Nicolas 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.
Professional Activities
Ms. Nicolas has co-authored several articles on broker-dealer regulation, including “Will Multiple Regulators Spawn an Inconsistent Framework for Research Analyst Regulation?” (Becker, Lee, & Nicolas, Wall Street Lawyer, September 2000, Volume 6/Number 4).
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