Lanny A. Schwartz
Mr. Schwartz is a member of Davis Polk’s Corporate Department and the Trading and Markets practice within our Financial Institutions Group. He advises on securities compliance, regulatory and transactional matters. His clients include major international banks, broker-dealers, securities exchanges and consulting firms.
From 1999 to 2005, Mr. Schwartz was Executive Vice President and General Counsel of the Philadelphia Stock Exchange. Previously, he was Managing Director and Counsel at Bankers Trust Company, concentrating in bank and broker-dealer regulation and investment banking.
Mr. Schwartz is listed as a leading lawyer in several legal industry publications, including:
- Chambers USA: America’s Leading Lawyers for Business
- American Lawyer Media’s The New York Area’s Best Lawyers
- Woodward/White’s Best Lawyers in America.
- Speaks and writes regularly on securities market structure and regulatory issues
- Former Member, Adjunct Faculty, Columbia Law School
- Former Instructor, Wharton Executive Education/NASD Institute for Professional Development
- Partner, 2007-present
- Counsel, Davis Polk, 2005-2007
- Executive Vice President and General Counsel, Philadelphia Stock Exchange, 1999-2005
- Managing Director and Counsel, Bankers Trust Company, 1989-1999
- Associate, Cleary Gottlieb Steen & Hamilton, London and New York offices, 1985-1989
Articles and Books
FINRA’S New Research Rules: How CCOs Can Prepare
How to Implement Payments to Unregistered Persons Rule | compliancereporter.com, Vol. XXII, No. 10, May 18, 2015
What is a Broker-Dealer?
Chapter 2 | Broker-Dealer Reg., Rel. #6, 9/14, PLI