Nik Kolodny
Regulation Counsel at IEX Group, Inc.- Claim this Profile
Click to upgrade to our gold package
for the full feature experience.
-
Spanish Full professional proficiency
Topline Score
Bio
Experience
-
IEX
-
United States
-
Financial Services
-
100 - 200 Employee
-
Regulation Counsel
-
Mar 2019 - Present
Support Chief Regulatory Officer in all aspects of the Investors Exchange regulatory program, including: •Develop and prepare Securities and Exchange Commission (SEC) rule filings and other submissions to accomplish regulatory and business goals, including advocacy efforts with the SEC for approval or effectiveness. •Provide regulatory guidance regarding compliance with IEX rules and applicable federal securities laws and rules •Work closely with Legal and Compliance functions to implement and maintain effective internal controls designed to reasonably assure rule and system compliance •Respond to formal and informal regulatory inquiries from the SEC and other governmental regulators, working collaboratively with internal IEX teams •Provide regulatory guidance to internal and external constituencies regarding listing and membership matters, including with respect to interpretative issues. •Participate in industry working groups including NMS Plans and other initiatives •Provide regulatory guidance on new and existing business initiatives to IEX senior management •Assist in development and application of internal surveillance systems •Assist with oversight of FINRA's performance of outsourced regulatory functions •Contribute to development of written and oral communications to IEX senior management, board of directors and committees, and SEC staff •Draft policies and procedures Show less
-
-
-
U.S. Securities and Exchange Commission
-
United States
-
Financial Services
-
700 & Above Employee
-
Senior Counsel, Division of Enforcement
-
Nov 2014 - Mar 2019
Collaborated with federal and state criminal authorities and foreign securities regulators to investigate and enforce violations of the securities laws. Received three Division Director’s Awards. Representative matters include: •Conducted investigations of several Initial Coin Offerings for potential violations of securities laws and theft of millions of dollars’ worth of cryptocurrency. •Investigated private equity firm that engaged in elaborate scheme to misappropriate $300 million of investors’ funds. Civil action pending. •Successfully litigated action against stock promoter responsible for $2.5 million in investor losses. •Investigated and negotiated settlement with multinational hedge fund engaged in market manipulation. Show less
-
-
-
S&F
-
United States
-
Legal Services
-
1 - 100 Employee
-
Attorney
-
Feb 2007 - Oct 2014
Practice focused on white-collar defense and commercial civil litigation including securities fraud, intellectual property, employment discrimination, contract disputes and accounting fraud. • Worked on securities fraud trial in SDNY, representing hedge fund manager accused by Securities and Exchange Commission (SEC) of violating the Securities, Exchange and Investment Advisers Acts—drafted discovery and dispositive motions and deposed witnesses in preparation for trial. • Represented public company officers and directors in several shareholder and derivative securities fraud suits. Drafted dispositive motions, collected and reviewed electronically stored information, drafted mediation statements and assisted with settlement negotiations. • Conducted internal investigations of several companies seeking guidance on criminal or regulatory exposure. Interviewed employees, collected documentary evidence and presented findings to Board. • Represented clients through all stages of SEC investigations: producing subpoenaed documents, bringing clients before SEC for testimony, writing Wells submissions and participating in pre- and post-Wells negotiations. Clients include CFO of Fortune 500 company and hedge fund manager. • Primary attorney on six criminal cases in the SDNY—negotiated plea deals for four clients and argued sentencings for all six, each of which resulted in a below-guidelines sentence. Show less
-
-
-
Simpson Thacher & Bartlett LLP
-
United States
-
Law Practice
-
700 & Above Employee
-
Associate
-
2005 - 2007
Practice focused on antitrust and insurance defense. Managed document review projects for several cases, drafted deposition outlines and second-chaired several depositions. Practice focused on antitrust and insurance defense. Managed document review projects for several cases, drafted deposition outlines and second-chaired several depositions.
-
-
-
-
Law Clerk
-
2004 - 2005
Actively managed 150 cases on federal district judge’s civil and criminal docket. Analyzed legal and factual questions, conducted research, and drafted bench memoranda, opinions and orders to aid judge in her determination of dispositive and in limine motions. Actively managed 150 cases on federal district judge’s civil and criminal docket. Analyzed legal and factual questions, conducted research, and drafted bench memoranda, opinions and orders to aid judge in her determination of dispositive and in limine motions.
-
-
-
Time Inc.
-
United States
-
Book and Periodical Publishing
-
700 & Above Employee
-
Human Resources Manager
-
Jul 1999 - Jun 2001
Developed training curriculum for 65 users of company-wide PeopleSoft Human Resources data-base. Wrote training manuals and conducted training sessions for diverse user groups. Partnered with executive management to overhaul performance metrics for hiring, employee reten-tion and development, and promotion of diversity. Developed training curriculum for 65 users of company-wide PeopleSoft Human Resources data-base. Wrote training manuals and conducted training sessions for diverse user groups. Partnered with executive management to overhaul performance metrics for hiring, employee reten-tion and development, and promotion of diversity.
-
-
-
PeopleSoft, Inc.
-
Pleasanton, California
-
Management Consultant
-
Jul 1997 - Dec 1999
• Worked with institutions of higher education to develop software solutions to meet administrative goals. Created project plans to budget labor and expenses for each software implementation. • Trained and managed team of seven programmers. • Worked with institutions of higher education to develop software solutions to meet administrative goals. Created project plans to budget labor and expenses for each software implementation. • Trained and managed team of seven programmers.
-
-
-
Accenture
-
Ireland
-
Business Consulting and Services
-
700 & Above Employee
-
Senior Analy
-
Jan 1996 - Jun 1997
• Partnered with state and county human service agency representatives to streamline process for approving government benefits. • Assisted with design of welfare automation system to implement new processes. • Partnered with state and county human service agency representatives to streamline process for approving government benefits. • Assisted with design of welfare automation system to implement new processes.
-
-
Education
-
New York University School of Law
Juris Doctor (J.D.), Law -
Stanford University
B.A., Human Biology