FacultyFaculty/Author Profile
Lanny A. Schwartz

Lanny A. Schwartz

Municipal Securities Rulemaking Board
Chief Regulatory Officer
Washington, DC, 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 Broker-Dealer Exam Priorities and Hot Topics - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
MP3 Audio  MP3 Audio Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
Transcripts  Transcripts Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Exam Priorities and Hot Topics - Broker-Dealer Exam Priorities and Hot Topics, Monday, July 23, 2018
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2018, Monday, July 30, 2018, New York, NY
Treatise Chapters  Treatise Chapters Regulatory Considerations for Integrating a Broker-Dealer Firm into a Corporate Group - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
What Is a Broker-Dealer? - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.