Nicole M. Alkire

Nicole Alkire advises broker-dealers and investment advisers on a variety of regulatory matters arising under US federal and state securities laws, as well as self-regulatory organization rules. She counsels clients on compliance, supervisory, and operational issues and assists in the development and implementation of policies and procedures designed to address regulatory requirements. Nicole also supports clients in regulatory examinations and inquiries, including responding to requests and assisting with internal reviews and remediation efforts. Prior to joining Morgan Lewis, Nicole worked at a firm offering online brokerage and custody services, where she handled a variety of broker-dealer regulatory compliance matters.