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Ernesto A. Lanza

Of Counsel, Ballard Spahr

About Ernesto A. Lanza

Ernesto Lanza represents broker-dealers, municipal advisors, investors, other key market participants and industry vendors on municipal market, Dodd-Frank, FINRA, and other legal and compliance matters, including in the high‐stakes context of regulatory examination and enforcement activities. He provides regulated clients with insight into how regulatory mandates translate into on‐the‐ground, practical implementation and compliance. Lanza served as in-house attorney-adviser at the SEC from 2019 to 2022, including as Acting Director of the SEC’s Office of Municipal Securities from November 2021 to April 2022. Previously, he served more than 15 years in-house at the MSRB, including four years as General Counsel and three years as Deputy Executive Director. During more than a decade in private practice, Lanza represented broker-dealers, municipal advisors, state and local governments, investors, trade groups, industry vendors, and other key market structure entities on municipal bond and 529 college savings plan market matters. He has served as bond counsel to state and local governments as well as underwriter’s counsel on numerous public sector capital financings for public and social infrastructure projects and private activity such as multifamily housing.