FacultyFaculty/Author Profile
Lanny A Schwartz

Lanny A Schwartz

Davis Polk & Wardwell LLP

New York, NY, USA


Lanny A. Schwartz is a partner in Davis Polk & Wardwell’s Financial Institutions Group, where he specializes in broker-dealer and market regulation, sales and trading issues and derivatives.  Mr. Schwartz’ practice focuses on advocacy before federal regulators (such as the SEC, the CFTC and banking regulators) and self-regulatory organizations, as well as compliance, transactional matters, enforcement defense and investigations.  In the past several years, Mr. Schwartz has been a leading advisor to many firms on the reforms to the swaps and other derivatives markets, the Volcker Rule and new requirements for municipal advisors.  Prior to joining Davis Polk, Mr. Schwartz was Executive Vice President and General Counsel of the former Philadelphia Stock Exchange (now part of NASDAQ) and a Managing Director in the Legal Department at the former Bankers Trust (now part of Deutsche Bank).  Earlier in his career, Mr. Schwartz was a corporate Associate in the New York and London offices of Cleary, Gottlieb.  Mr. Schwartz holds a B.A. in Oriental Studies (summa cum laude) from the University of Pennsylvania, and a J.D. (cum laude) from the New York University School of Law.
Lanny A Schwartz is associated with the following items:
Web Segment  Web Segment Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
Treatise Chapters  Treatise Chapters What Is a Broker-Dealer? - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
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