Gerard Citera

Counsel

gerard.citera@davispolk.com

Mr. Citera is counsel in Davis Polk’s Financial Institutions Group and a senior lawyer in the firm’s Trading and Markets practice. He has extensive experience representing broker-dealers, banks, investment banks, investment advisers and other financial institutions in a wide range of legal, compliance and regulatory matters. He focuses on broker-dealer regulatory issues, including compliance, supervision, trading, sales, market structure and derivatives. Mr. Citera also provides regulatory advice on mergers and acquisitions, creation of new broker-dealers, capital markets transactions and new product development. He has managed implementation of major regulatory and market structure changes. He also structures and implements supervisory and compliance programs, conducts internal investigations and compliance reviews, and represents clients in SEC and SRO examinations and investigations.

Contact

New York
450 Lexington Avenue
New York, NY 10017
P: 212-450-4881
F: 212-701-5881

Related Practices

Bar Admissions

State of New York
District of Columbia

Education

B.A., SUNY Albany, 1977
- magna cum laude
J.D., University at Buffalo Law School - SUNY, 1980
- magna cum laude
- Member, Law Review

Of Note

Mr. Citera has published numerous articles and practice outlines on various securities law issues.
He is a frequent speaker at industry conferences on broker-dealer regulatory matters.
In 2007, he received the Excellence in Alumni Service Award from the University at Albany.

Membership

Member, Advisory Board of the Nelson A. Rockefeller College of Public Affairs at SUNY Albany, 2003 to present, (Co-Chair since 2010)
Member, Advisory Council of the Institute in Financial Market Regulation, SUNY Albany, 2006 to present (Member of Executive Committee since 2006)
Guest Lecturer and Project Manager, SUNY Buffalo Law School – New York Financial City Program in Financial Markets, 2006 to present
Member, SIFMA, Legal and Compliance Division
Member, Business Law Section, American Bar Association (Trading & Markets Subcommittee)
Member, (Securities Regulation Committee) Business Law Section, New York State Bar Association
Member, SEC Alumni Association (ASECA)

Professional History

Counsel, Davis Polk, 2008-present
Executive Director, U.S. Equities, UBS Investment Bank, 2000-2007
Deputy General Counsel, PaineWebber Securities, 1994-1999
Counsel, Securities Enforcement and Broker-Dealer Regulatory Group, Wilmer, Cutler & Pickering, 1985-1994
Attorney, Division of Market Regulation and Office of General Counsel, Securities and Exchange Commission, 1982-1985

News

Davis Polk Advises Rabobank on Its Sale of Robeco to Orix

Publications

Prime Brokerage
Chapter in Advising Private Funds | Securities Law Handbook Series (2010 Edition)

SEC Proposes Consolidated Audit Trail
Securities Regulation & Law | Bureau of National Affairs

SEC Proposes Consolidated Audit Trail | Securities Regulation and Law Report

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Client Publications

Guidance on Rule 15a-6 and Foreign Broker-Dealers
Client Newsflash

FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees
Client Memorandum

FINRA Issues Voluntary Interim Form for Crowdfunding Portals
Client Memorandum

View More > >

Events

Gerard Citera to Speak at PLI’s “Broker/Dealer Regulation and Enforcement” Program

Davis Polk Lawyers to Speak at SIFMA Internal Business Conduct Workshop

Gerard Citera to Speak at PLI’s Broker/Dealer Regulation and Enforcement Program

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Last Name
Title ALL TITLES Associate Consultant Counsel Counsel - Registered Foreign Lawyer Foreign Legal Consultant General Counsel Litigation Counsel Partner Registered Foreign Lawyer Regulatory Counsel Senior Counsel Special Counsel for Pro Bono
Offices ALL OFFICES Beijing Hong Kong London Madrid Menlo Park New York Paris São Paulo Tokyo Washington DC
Practices ALL PRACTICES Anti-Corruption and Foreign Corrupt Practices Act Antitrust and Competition -- Litigation Asia Practice Bankruptcy Litigation Board of Directors Litigation and Strategic Counseling Capital Markets China Practice Commercial Dispute and Contract Compliance and Advisory Congressional Investigations Consumer Class Actions Consumer Products Corporate Corporate Governance Credit Derivatives and Structured Products Economic Sanctions and National Security Energy/Utilities Environmental Europe Practice Executive Compensation Financial Crisis Litigation Financial Institutions Health Care Health Care/Life Sciences Litigation Hedge Funds India Practice Insolvency and Restructuring Intellectual Property Intellectual Property Litigation Internal Investigations International International and Domestic Arbitration Investment Funds Litigation and Investigations Investment Management Japan Practice Leveraged Finance Litigation M&A-Related Litigation Mass Torts and Products Liability Media and Telecom Mergers and Acquisitions Private Equity Professional Liability Project Finance Real Estate Securities Enforcement Securities Litigation Spain and Latin America Practice Tax Tax Controversy Technology Trading and Markets Trusts and Estates White Collar Criminal Defense
Law School ALL SCHOOLS American University, Washington College of Law Beijing Foreign Studies University Benjamin N. Cardozo School of Law Bond University Faculty of Law Bordeaux University Boston University School of Law BPP Law School Brigham Young University, J. Reuben Clark Law School Brooklyn Law School Campus Law Centre, Delhi University Chicago-Kent College of Law - I.I.T. China University of Political Science and Law City University of Hong Kong Columbia Law School Cornell Law School Duke University School of Law Ecole de formation des Barreaux (EFB-Paris) Emory University School of Law Fordham University School of Law Frankfurt University, Institute for Law and Finance Fudan University Law School George Washington University Law School Georgetown University Law Center Ghent University Faculty of Law Harvard Law School Hofstra University School of Law Howard University School of Law Institut d'Études Politiques de Paris (Sciences Po) Karl-Franzens-Universität Graz, Faculty of Law King's College London School of Law King's College, University of London London School of Economics London School of Economics and Political Science McGill University, Faculty of Law Murdoch University School of Law National Taiwan University (NTU Law) National University of Singapore Faculty of Law New York University School of Law Northwestern University School of Law Nottingham Law School Oberlandesgericht Koln Osgoode Hall Law School of York University Oxford Institute of Legal Practice Peking University Pontificia Universidade Católica de São Paulo Faculdade Paulista de Direito Queensland University of Technology Renmin University of China Renmin University of China Law School Ruhr-Universität Bochum, Die Juristiche Fakultät Rutgers University School of Law - Camden Rutgers University School of Law - Newark School of Oriental & African Studies, University of London Seton Hall University School of Law Shanghai Institute of Foreign Trade Shanghai University of Finance and Economics Sichuan University Southern Methodist University School of Law St. John's University School of Law Stanford Law School SUNY Buffalo Law School Tel Aviv University Transnational Law and Business University Trinity College, Dublin School of Law Trinity College, University of Cambridge Tsinghua University Tsinghua University, School of Law UC Berkeley - Boalt Hall School of Law UC Hastings College of the Law UCLA School of Law Universidad Carlos III de Madrid School of Social Sciences and Law Universidad Católica Argentina (Buenos Aires), Facultad de Derecho Universidad de Buenos Aires Universidad de Deusto Universität Zu Köln Université de Strasbourg - Faculté de Droit, Sciences Economiques et Gestion Université Jean Moulin Lyon 3 - Faculté de droit Université Nancy II - Faculté de Droit, Sciences Economiques et Gestion Université Paris I Panthéon-Sorbonne Université Paris II Panthéon-Assas Université Paris II Panthéon-Assas Université Paris-Sud XI University at Buffalo Law School - SUNY University College London, Faculty of Laws University of Bristol School of Law University of British Columbia Faculty of Law University of Cambridge University of Cambridge, Faculty of Law University of Cape Town University of Cape Town, Faculty of Law University of Chicago Law School University of Cologne University of Connecticut School of Law University of Delhi Faculty of Law University of East Anglia University of Edinburgh School of Law University of Florida College of Law University of Georgia School of Law University of Groningen University of Helsinki, Faculty of Law University of Hong Kong University of Hong Kong, Faculty of Law University of Illinois College of Law University of International Business & Economics University of Ljubljana, Faculty of Law University of London University of Melbourne University of Melbourne Law School University of Miami School of Law University of Michigan University of Michigan Law School University of Minnesota Law School University of Munich, Faculty of Law University of Murcia University of Naples Federico II School of Law University of Natal, School of Law University of New South Wales University of North Carolina University of Notre Dame Law School University of Otago, Faculty of Law University of Oxford University of Pennsylvania Law School University of Pittsburgh School of Law University of Queensland University of Queensland, TC Beirne School of Law University of San Diego School of Law University of South Carolina School of Law University of St. Gallen University of Stellenbosch, Faculty of Law University of Sydney Law School University of Tel Aviv, The Buchmann Faculty of Law University of Texas School of Law University of the West of England, Bristol University of the Witwatersrand, Oliver Schreiner School of Law University of Tokyo, Faculty of Law University of Toronto, Faculty of Law University of Utah S.J. Quinney College of Law University of Virginia University of Virginia School of Law University of Warsaw, Faculty of Law and Administration University of Warwick University of Washington School of Law (Seattle) University of Western Australia University of Western Australia, Faculty of Law University of Western Ontario University of Wisconsin Law School Vanderbilt University Law School Wake Forest University School of Law Washington & Lee University School of Law Washington University in St. Louis School of Law Wayne State University Law School Yale Law School
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