Stephen Cohen 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. Mr. Cohen served as the sole U.S. broker-dealer regulatory counsel for both The Bank of New York Company, Inc. and Mellon Financial Corporation in their $16.5 billion merger completed in 2007, and their subsequent ongoing multi-year integration plan. Most recently, he acted as regulatory counsel for The Bank of New York Mellon Corporation in connection with its $2.31 billion acquisition of PNC's Global Investment Servicing Inc. (GIS) business, a provider of custody, fund accounting, transfer agency and outsourcing solutions for asset managers and financial advisors.
Mr. Cohen also heads up the firm’s Dodd-Frank Financial Reform Task Force, facilitating the registration and exemption process for private fund managers.