Edward Kwalwasser

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Edward A. Kwalwasser
KwalwasserEd.gif
Occupation Senior Counsel
Employer Proskauer Rose LLP
Location New York, NY
LinkedIn Profile
Website [ http://www.proskauer.com/ www.proskauer.com]

Ed Kwalwasser is a senior counsel in Proskauer Rose LLP and formerly chief regulator at the New York Stock Exchange, where he was the number 3 executive at the exchange after former Chairman and CEO Richard Grasso left the NYSE in 2003.[1][2]

Kwalwasser is also a member of the board of trustees of the Institute for Financial Markets.[3]

Background

Kwalwasser joined the Proskauer Rose in 2005 after serving as group executive vice peesident of the New York Stock Exchange (NYSE) in charge of the exchange's regulatory group, which comprised the Divisions of member firm regulation, market surveillance, and enforcement. While at the NYSE, he was a member of the exchange's management committee. Previous to joining the NYSE, Edward was an associate director of the Securities and Exchange Commission (SEC) Division of Market Regulation in charge of broker-dealer examination program as well as its broker-dealer net capital office.

He counsels major financial institutions, including full service broker-dealers, domestic and foreign investment banks, clearing brokers, investment advisors, hedge funds and depository and settlement institutions on a wide range of regulatory and enforcement matters. Edward advises clients on SEC and SRO regulations and compliance, best practices, complex trading strategies, securities lending activities, investment product development, internal investigations, civil and administrative enforcement proceedings as well as securities arbitrations.

Kwalwasser was a member of the board of directors of the Depository Trust Corporation and a founding director of the SEC Historical Society. He also serves on the board of trustees for the Institute for Financial Markets.[4]

References

  1. The Big Board Wants a New Top Cop. Business Week.
  2. Edward Kwalwasser. LinkedIn.
  3. IFM Board of Trustees. Institute for Financial Markets.
  4. "Institute for Financial Markets”. IFM.