Stephen Cohen

Stephen H. Cohen is Partner at Loeb & Loeb LLP where he focuses his practice on broker-dealer regulation and the securities markets. Mr. Cohen advises broker-dealer clients on a wide variety of regulatory and transactional matters, including federal and state registration and compliance issues and SRO membership and compliance issues, including FINRA (formerly NASD), the stock exchanges and the clearing corporations. His clients include major international banks, domestic and foreign investment banks, full service and boutique brokerage firms, clearing firms, transfer agents and hedge funds. During the past five years, Mr. Cohen has served as regulatory counsel in over 50 private and public transactions valued at a combined total of more than $75 billion. Most recently, Mr. Cohen served as the sole US broker-dealer regulatory counsel for both The Bank of New York Company, Inc. and Mellon Financial Corporation in their $16.5 billion merger completed on July 1, 2007 and their subsequent on going multi-year integration plan. In addition to advising clients generally on regulatory matters, Mr. Cohen has developed a specialty in providing regulatory advice to financial institutions in the following areas: domestic and cross-border capital market transactions, strategic corporate transactions including mergers, acquisitions, joint ventures and dispositions involving broker-dealers, the creation and restructuring of major business units and the rationalization and integration of broker-dealers within global financial services firms. Mr. Cohen also heads up Loeb's Dodd-Frank Financial Reform Task Force, facilitating the registration and exemption process for private fund managers. Mr. Cohen authored, Newly Created Dodd-Frank Adviser Exemptions Are No Vacation from the Advisers Act, Bloomberg Law Reports - Securities Law (November 2011) and co-authored, In Securities Deals, Plan for the Regulators: Know the rules and avoid delay, Legal Times (June 19, 2006). Mr. Cohen received his B.A. from Columbia University and J.D. from New York University School of Law. 

4b. ALL LAB - Integrating Compliance During M&A Transition (Intermediate - CLOSED)