Annette Nazareth is head of Davis Polk’s Washington DC office and leads the Trading and Markets practice within the firm’s Financial Institutions Group. She regularly advises clients on a broad range of financial regulatory, legislative, governance and enforcement matters relating to securities, derivatives and futures. She also advises financial institutions and corporations on regulatory considerations for digital asset and blockchain businesses as well as on cybersecurity issues.
Annette has been a key player in financial services regulation for much of her career. She was a Commissioner of the U.S. Securities and Exchange Commission and Director of the Commission’s Division of Trading and Markets. During her tenure at the Commission, Annette worked on numerous groundbreaking initiatives, including execution quality disclosure rules, implementation of equities decimal pricing, short sale reforms and modernization of the national market system rules. Annette also served as the Commission’s representative on the Financial Stability Forum from 1999 to 2008.
Ms. Nazareth is recognized as a leading lawyer in various industry publications:
• Chambers USA:
• Securities: Regulation: Advisory, Band 1, 2017
• Financial Services Regulation: Broker Dealer (Compliance), Band 1, 2017
• Financial Services Regulation: Broker Dealer (Enforcement), Band 1, 2017
• IFLR1000 – Leading Lawyer, 2017
• BTI Client Service All-Star, 2013
Ms. Nazareth received the SIFMA Compliance & Legal Society 2019 Alfred J. Rauschman Award, in recognition of her significant contributions to the compliance and legal communities and her dedication to the securities industry. She received a Lifetime Achievement Award from Traders magazine's inaugural "Wall Street Women of Excellence" awards in 2011 and the Women in Finance Lifetime Achievement Award from Markets Media in 2016.
Ms. Nazareth is a graduate of Brown University and Columbia University School of Law.