Michael Wolk


Partner

Sidley Austin LLP


Michael D. Wolk is a partner in the Washington D.C. office of Sidley Austin LLP and a member of the firm’s Security and Derivatives Enforcement and Regulatory Practice. Mike focuses his practice on SEC, exchange and FINRA compliance and enforcement matters, with a particular focus on equity and fixed income trading, marketplace and conduct rules and their application to broker-dealers, associated persons and investment advisers. In addition to representing firms and associated persons in regulatory investigations, Mike counsels his clients on regulatory and compliance issues. A recognized authority on the rules governing equity and debt trading, Mike is a frequent speaker at financial industry seminars. Before private practice, he served as vice president and chief counsel of the Market Regulation Department at the NASD (now FINRA). In that position he managed the legal section of the department; oversaw enforcement investigations and disciplinary litigation; and provided advice and counsel to NASD staff, industry professionals and attorneys. Mike served as a branch chief of the Division of Enforcement at the SEC, where he was responsible for conducting investigations of insider trading, accounting fraud and manipulation. He also previously worked for the IRS in the Criminal Tax Division, Office of Chief Counsel, in D.C., where he helped negotiate a memorandum of understanding between the Departments of Justice and Treasury concerning investigatory jurisdiction of money laundering crimes.


Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org