Financial Services Regulation: Broker Dealer (Compliance)
USA - Nationwide
8 years ranked
Provided by Davis Polk & Wardwell LLP
Zach is a member of Davis Polk’s Financial Institutions practice. He focuses on the regulation of broker-dealers and other securities market participants and intermediaries. This includes advising on SEC, FINRA and exchange rules relating to the conduct of business, financial responsibility, margin, market structure and related compliance obligations. He also advises on regulatory matters in connection with corporate transactions. His clients include international banks, broker-dealers, securities exchanges, digital asset businesses and other financial institutions.
Zach also helps clients with regulatory and legislative advocacy and has assisted in drafting proposed language for legislation, including aspects of three bills that became law.
Provided by Chambers
Zachary Zweihorn regularly advises broker-dealers on strategic transactions and the associated regulatory requirements. He is recognized for providing clients with a comprehensive overview of SEC and FINRA rules.
Provided by Chambers
Zach is extremely intelligent and knowledgeable of the securities regulatory issues and broker dealers in particular.
He is super smart and innovative in dealing with problems.
Chambers is the leading data and intelligence partner for the legal sector.