Davis Polk partner and trading and markets practice head Annette Nazareth has received the SIFMA Compliance and Legal Society's 2019 Alfred J. Rauschman Award. The award is presented by the Society annually to a candidate who has demonstrated significant contributions to the compliance and legal communities, promoted open communications among industry practitioners to share ideas and issues, fostered dialogue and communications with regulators, and dedicated their career to the securities industry.
Nazareth has been a key player in financial services regulatory reform for much of her career. She currently advises domestic and international clients on financial regulatory and legislative issues. For more than a decade, Nazareth was a highly regarded financial services policymaker. After starting her career as a Davis Polk associate and spending several years in the financial services industry, she joined the SEC in 1998 as a Senior Counsel to Chairman Arthur Levitt. She went on to serve as Interim Director of the Division of Investment Management. From 1999 to 2005, she served as Director of the Division of Market Regulation (now the Division of Trading and Markets). During her tenure at the Commission, Nazareth played a key role in numerous groundbreaking initiatives, including execution quality disclosure rules, implementation of equities decimal pricing, short sale reforms and modernization of the national market system rules.
The 2019 Rauschman Award was presented at the SIFMA C&L Annual Seminar on March 25, 2019.
Read more about why SIFMA selected Nazareth for this highest honor and view SIFMA’s tribute video below.