概要

Stephen Vogt is an associate in Mayer Brown’s Broker-Dealer Regulation & Compliance practice. His practice is concentrated on advising broker-dealers, investment advisers, and other financial services firms on federal and state securities laws and regulations and self-regulatory organization (SRO) rules. With extensive in-house experience, Stephen provides practical guidance on regulatory policy, advisory and supervisory matters, including rulemaking proposals and implementations, compliance programs, registrations and professional qualifications, disclosure, sales practices, market structure, clearance and settlement, examinations and enforcement investigations, and conducting internal investigations.

Prior to joining Mayer Brown, Stephen served as Director of Regulatory Relations at the Depository Trust & Clearing Corporation (DTCC), where he managed regulatory policy engagements, examinations, inquiries, and other interactions with the Securities and Exchange Commission (SEC), Federal Reserve Board and Federal Reserve Bank of New York, and other federal and state agencies. Previously, Stephen served as an assistant general counsel at the Municipal Securities Rulemaking Board (MSRB), led the regulatory affairs function at The Vanguard Group, Inc., served as assistant general counsel at the Securities Industry and Financial Markets Association (SIFMA), and conducted insider trading and other fraud investigations as a member of FINRA’s Office of Fraud Detection and Market Intelligence.

学歴

Emory University School of Law, JD

George Washington University, BA

ジョージタウン大学ロースクール, LLM

登録

  • Georgia
  • Maryland
  • Not admitted in the District of Columbia. Practicing under the supervision of firm principals.