Latham & Watkins LLP

Stephen Wink is a partner in the New York office of Latham & Watkins and a member of the Financial Regulatory Practice. He advises a wide range of market players including fintech companies, investment banks, private funds, exchanges, and trading platforms (traditional and cryptocurrency), and other financial institutions on matters involving the regulation of markets, as well as related compliance and enforcement matters.

Stephen is Co-Chair of Latham’s Fintech Industry Group and Global Digital Assets & Web3 Practice. Stephen is ranked in Band 1 by Chambers’ Professional Advisers FinTech, and is recognized by Chambers USA as one of the country’s leading financial services broker-dealer regulation lawyers. Recently, Stephen received the Innovation Award from the New York Law Journal, which recognizes “creative and inspiring approaches and forward-thinking firms and individuals,” and previously he was named a Law360 MVP for Fintech.

Stephen has in-depth knowledge and broad experience advising on the overlapping patchwork of regulations covering the financial markets, including the laws and rules under the Securities Exchange Act of 1934, the rules of the Financial Industry Regulatory Authority (FINRA), and other self-regulatory organizations.

Stephen provides regular commentary on regulatory initiatives and rule-making proposals on behalf of clients and trade associations. He has frequently obtained no-action relief and interpretive guidance on behalf of clients from various regulatory bodies, including the Securities and Exchange Commission and FINRA.

Stephen is Chair of the ABA’s subcommittee on Trading and Markets. He is a regular speaker at fintech and securities industry conferences.

Stephen spent nine years in-house as executive managing director and general counsel of First Albany Companies Inc., a full-service investment bank, merchant bank, and investment advisor. He began his career at another leading law firm after serving as a law clerk to Judge George E. MacKinnon of the US Court of Appeals for the D.C. Circuit.

Thought Leadership

• • “SEC Adopts Amendments to Form 13F” Latham & Watkins Article (July 2022)
  • “Responsible Financial Innovation Act Offers Clarity, Safeguards for Digital Assets — SEC and Securities” Latham & Watkins Article (June 2022)
  • “Decentralized Autonomous Organizations: Piercing the Digital Veil” Latham & Watkins Article (May 2022)
  • “SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions” Latham & Watkins Article (April 2022)
  • “When Are CCOs on the Hook? FINRA Offers Guidance on CCO Liability” Latham & Watkins Article (March 2022)
  • “President Biden Issues Executive Order on Digital Assets” Latham & Watkins Article (March 2022)
  • “Expanded Definition of “Exchange” and SEC Regulation of Crypto Platforms” Latham & Watkins Article (March 2022)
  • “SEC Proposes to Expand the Definition of an “Exchange”” Latham & Watkins Article (February 2022)
  • “2021 Digital Asset Regulatory Lookback (US Edition)” Latham & Watkins Article (January 2022)
  • “SEC Proposes Stricter Requirements for the Rule 10b5-1 Affirmative Defense” Latham & Watkins Article (January 2022)
  • “US Infrastructure Law: Top Impacts on the Digital Asset Industry” Latham & Watkins Article (November 2021)
  • “Crypto-Asset Trading Platforms: Another Regulatory Trip Around the World ” Latham & Watkins Article (November 2021)

http://www.lw.com/people/stephen-wink