thursday 21 feb2019

27th Annual ASECA Dinner

Ronald Reagan Building and International Trade Center

Biannual newsletter For and About SEC Alumni

in theNEWS

ASECA will be honoring David Becker, former SEC General Counsel and Senior Policy Director, as the 2019 Recipient of its William O. Douglas award during their annual dinner hels at the Ronald Reagan International Trade Center in Washington, DC, on Thursday, February 21, 2019.

President’s Message With October coming quickly to a close, many are looking forward to the last two months of the year. This is a great time . . . Read more on page 2.

2018 ASECA Dinner, a night to remember

Read more on page 4.

Committee News

Committees take on specific and detailed work . . . Read more on page 6.

Member spotlight Heather TraegerRead more on page 7.

ASECA Annual Dinner Registration opening soon: https://www.secalumni.org/annual-dinner-registration

HIGHLIGHTS

October 2018Association of Securities and Exchange Commission Alumni, Inc.

William O. Douglas Award 2019 Recipient Mr. David M.Becker

Read more on page 3.

Reception at 6:00 pm followed by Dinner at 7:00 pm

With October coming quickly to a close, many are looking forward to the

last two months of the year. This is a great time to take a quick look back

and share some highlights of ASECA’s busy and productive 2018.

This spring, ASECA conducted its first member survey during which many of you took the time to share your thoughts about what you like, and would like to see different, about ASECA and our programs. During the summer, the Board also worked through ASECA’s first strategic planning process – an interesting exercise in helping us re-examine who we are as an organization, where we want to be and how we are going to get there.

ASECA’s Board and committees have been discussing and looking at ways to incorporate the feedback from both the membership survey and our strategic planning process into our goals for 2019. We expect you will start to see some of these changes – if you haven’t noticed some already – in the coming year, including at the 2019 annual ASECA dinner (see below).

As part of ASECA’s annual Board meeting in September, the Board elected new Executive Officers, new committee heads for our currently existing Board committees, and transitioned two well-loved and respected colleagues to Director Emeritus status. See p. 7 for our new leadership.

With three upcoming networking events in early November and many more in the initial planning stages, ASECA’s Regional Events Committee has been very busy. We hope to see you at one of the Alumni & Friend events in either NYC, Boston or Chicago.

ASECA is also pleased to announce the 2019 William O. Douglas Award winner, Mr. David Becker. When you read more about David’s career and accomplishments, we know you’ll agree that he has served the SEC community with distinction. Please join us in congratulating him as ASECA’s 2019 awardee and make plans to attend the 27th Annual ASECA Dinner. The annual dinner follows PLI’s SEC Speaks in Washington, D.C. and will fall on a different night – Thursday, February 21, 2019. Mark your calendar and make plans to attend now.

In closing, I’m excited to serve as ASECA’s President for 2018-2020 and on behalf of ASECA and the Board, we look forward to seeing all of you at an ASECA event soon! In the meantime, if you have any feedback or questions, feel free to reach us at info@secalumni.org.

Sincerely,

Julie Bell Lindsay President, ASECA

President’s Message

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Continued . . .

William O. Douglas Award 2019 Recipient Mr. David M. Becker

David Becker served as General Counsel and Senior Policy Director of the Commission from February 2009 through February 2011. He was General Counsel of the Commission from January 2000 through mid-2002 and Deputy General Counsel from August 1998 through December 1999.

Mr. Becker served under three Chairs. He led the Commission’s Office of General Counsel in advising the Commission on all matters before it and in advocating on behalf of the Commission in a broad variety of matters. He was particularly active in preparation of the Commission’s definitive materiality pronouncement, SAB 99; the Commission’s auditor independence rulemaking in 2000; and the Commission’s participation in the regulatory reform efforts that became the Dodd-Frank Act, as well as the initial implementing rules. He was in Washington at the Commission on September 11, 2001, and with Chairman Pitt in New York the next day.

Mr. Becker is currently senior counsel at Cleary Gottlieb, which he joined as a partner when he left the Commission in 2002 and to which he returned after leaving the Commission in 2011.

Between July 2014 and January 2017, Mr. Becker was Chief Legal Officer at Och-Ziff Capital Management LLP. Between 1978 and joining the Commission in 1998, Mr. Becker was an Associate and then a partner at Wilmer, Cutler & Pickering.

Mr. Becker clerked for Judge Harold Leventhal of the U.S. Court of Appeals for the DC Circuit and for Associate Justice (retired) Stanley R. Reed of the U.S. Supreme Court.

Mr. Becker graduated from Columbia Law School, where he was Editor-in-Chief of the Columbia Law Review.

ASECA’s Scholarship Fund

ASECA Awards Nearly $100,000 in Scholarships and Prizes at the 2018 Dinner. ASECA contributes money to seven law schools and one undergraduate scholarship program.

One of the best ways to give back is to provide for the future.

ASECA’s Scholarship program ASECA strives to not only provide these important scholarships and awards to tomorrow’s professionals, but to serve its members who share the unique history of having worked at the SEC. Since 1992, ASECA has awarded more than $300,000 in law school scholarships to students aspiring a career in security and exchange law as well as scholarships for SEC Staff pursuing undergraduate degrees.

Please consider making your donation to ASECA’s scholarship program today.

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A night to remember ASECA 2018 Annual DinnerFor years, the tradition of the ASECA Annual Dinner has been a greatly anticipated event. Always held in February in conjunction with the conclusion of the PLI SEC Speaks series.

The next dinner will be on Thursday, February 21, 2019 at the Ronald Reagan Building and International Trade Center.

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Or visit our website at www.secalumni.org https://vimeo.com/268031711

For those of you who wish to enjoy the 2018 Dinner

again, click here

5 ASECA News

Local social networking event held on September 10, 2018, Dallas, TX.

Committee news

time consuming to handle in meetings of the entire board. In addition to increasing overall efficiency, committees allow for volunteers to use their skills and interests in addressing work on behalf of an organization. ASECA is fortunate to have so many dedicated professionals leading the Association’s efforts among our many different activities and programs.

Finance & Investment - overseeing ASECA’s accounting and internal control systems as well as ASECA’s investment program.Chairperson, Douglas Hyman - Chicago

Membership & Communications - fostering recruitment and retention of members as well as recognizing member achievements.Chairperson, Annemarie Tierney New York City

Nominating – encouraging, soliciting and accepting nomination for Officers and Members of the Board of Directors.Chairperson, Brian V. Breheny Washington, DC

Regional Events – managing and overseeing ASECA’s regional networking events.Chairperson, Heather Traeger – Austin

Scholarships & Awards – managing and overseeing ASECA’s scholarships and awards programs.Chairperson, Jonathan Sokobin Washington, DC

• SEC Alumni & Friends New England Reception Boston, MA, sponsored by Duff & Phelps. Please join ASECA and Duff & Phelps for a pre-holiday reception and celebration of New England’s best... YOU... for an evening of seasonal cheer, networking and comradery while you enjoy complimentary cocktails and hors d’oeuvres.

Date: Thursday, November 8, 2018 Time: 6:00 - 8:00 PM

Location: The Palm, One International Place, Boston, MA 02110

Click here for more information

• 4th Annual SEC Alumni & Friends NYC Reception hosted by Skadden, Arps, Slate, Meagher & Flom. Toast to the SEC will be given by Colleen Mahoney,

former Deputy Director of the Division of Enforcement and current partner at Skadden Arps (Securities Enforcement, Government Enforcement and White Collar Crime.)

Date: Thursday, November 8, 2018 Time: 6:00 - 8:30 PM Location: Skadden Arps NYC Office,

4 Times Square, New York City, NY 10036

Cost: $30 for ASECA Members $40 for non-members

Click here for more information

• Alumni & Friends Chicago Reception & Presentation, sponsored by Greenberg Traurig.

Current Issues in Securities Enforcement, presented by Joel Levin, Regional Director of the Securities and Exchange Commission’s Chicago Regional Office.

Date: Tuesday, November 13, 2018 Reception: 5:00 PM Presentation: 6:00 PM

Click here for more information

Committees take on specific and detailed work when the task is too complex and

upcoming regional events

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2018 Board of DirectorsFront row from left: Brandon Becker, Brian V. Breheny, Heather Traeger, Julie Bell Lindsay, Amy Goodman, Tom Riesenberg, Juan Marcelino and Kathleen Gallagher (Emeritus). Back row from left: Andre Owens, John Hartigan, Steven Jacobs, Wayne Carnall, Jonathan Sokobin, Doug Hyman and Annemarie Tierney. Not shown: James Brigagliano, Wayne Carlin, Marc Fagel, Jonathan Katz, Paul Roye, Linda Chatman Thomsen and Elisse Walter.

Serving ASECA — Your Board of Directors

Heather Traeger is a Lifetime member of ASECA and joined in 2007. Heather serves on the ASECA Board of Directors and is the Chairperson of ASECA’s Regional Events Committee. When asked what about ASECA is important to her, she says that she “really enjoys the opportunity to keep in close and regular communication with an outstanding group of people for whom I have tremendous respect and admiration.” Giving back to that same group by contributing to the fulfillment of the mission of ASECA is also important to her.

Heather lives in Austin, TX, with her husband, Jeffrey Cohan, an attorney with the SEC, and their daughter, Elena. Heather serves as the Chief Compliance Officer and Compliance Counsel for the Teacher Retirement System of Texas, one of the largest public pension plans in the country.

Heather was a partner at O’Melveny & Myers LLP, in Washington, D.C., in the Financial Services Practice. She also served as an Associate Counsel at the Investment Company Institute (ICI) and in several positions at the U.S. Securities and Exchange Commission, including as the Senior Counsel to Commissioner Roel Campos, Counsel to Commissioner Issac Hunt, and Senior Counsel in the Division of Market Regulation (now Trading and Markets). She also clerked for the Texas First Court of Appeals. When asked about her best career move, Heather says that it was moving to the SEC – her second job. The mission, the people, the work itself…

Heather is a member of the Texas and District of Columbia bars, a faculty member for the Regulatory Compliance Association’s CCO University, a member of the Board of Editors for the Investment Lawyer and a member of Texas Wall Street Women, serving on the philanthropy committee.

Heather shares that two of her guilty pleasures are small town festivals and good barbeque. According to an unofficial survey the three words that describe Heather are genuine, composed and trustworthy.

Member spotlightHeather Traeger

Association of Securities and Exchange Commission Alumni, Inc.

As a 501(c)(3), ASECA is nonprofit and this special status not only provides the organization federal tax exempt status, but provides a deduction for federal income tax purposed, for some donors who make charitable contributions. The Association is also governed by a Board of Directors – your Board of Directors - who manage the business and affairs of the Association. Board members hold office for a period of three years and are divided into three classes, with one class expiring each year. Officers are appointed by the Board of Directors and hold office for two years. Members and Officers may be reelected for successive terms.

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Association of Securities and Exchange Commission Alumni, Inc.

Honored Director Emeritus

This year, ASECA is honored to have three new Directors Emeritus. They each served

ASECA with distinction.

Please join us in thanking these

outstanding indivuals for their

years of memorable service.

Robert C. Friese

Kathleen G. Gallagher

Honorable Stanley SporkinKathy served as ASECA’s first female president from 2000-2002 and Bob served as ASECA president from 2007-2008. They join ASECA Directors Emeritus Martha L. Cochran (ASECA president 2007-2008) and Marvin Pickholz (ASECA’s first president in 1992-1994).

The Annual Dinner provides opportunities to reconnect with friends, network with colleagues and enjoy a fine dinner with much celebration. ASECA members benefit with special pricing, so be sure your membership is up to date. See page 9 & 10 for

membership information and application form.

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The TeamASECA OfficersPresident Julie Bell Lindsay Washington DC

Vice-President Brandon Becker Jersey City, NJ

Treasurer Douglas W. Hyman Chicago, IL

Secretary Annemarie Tierney New York, NY

Immediate Past President Brian V. Breheny Washington, DC

Board of DirectorsJames BrigaglianoWayne CarlinWayne CarnallMarc J. Fagel Linda D. FienbergAmy GoodmanJohn F. HartiganSteven C. JacobsJonathan G. KatzJuan MarcelinoAndre OwensThomas L. RiesenbergPaul RoyeJonathan SokobinLinda Chatman ThomsenHeather TraegerElisse Walter

Director EmeritusMartha L. CochranRobert C. FrieseKathleen G. GallagherMarvin PickholzThe Honorable Stanley Sporkin

Association of Securities and Exchange Commission Alumni, Inc.

Please feel free to contact us: P.O. Box 5767, Washington, DC 20016(202) 735-7168

www.secalumni.orgExecutive Directorinfo@secalumni.org

MembershipThe value of ASECA membership extends well beyond the annual $50.00 dues. The opportunities for networking and service to the professional community are inherent in the mission of our unique association. This website offers tools for you to connect with fellow colleagues, as well as others in our industry.

Lifetime membership offers members special recognition at all functions, advance announcements for events and Lifetime members never have to bother with the annual renewal.

Click here to join or renew ASECA today.

If you have previously joined ASECA and are not sure if your membership is current, click here.

If you prefer to pay by check, download or print out the application on page 10 and mail along with your check payable to ASECA:

ASECA Executive DirectorP.O. Box 5767, Washington, DC 20016

ASECA encourages members to include a donation to ASECA Scholarship Programs. ASECA is a 501(c)(3) non-profit organization. Contributions for ASECA Scholarship Programs are tax deductible to the full extent allowed by law.

Annual membership covers one calendar year beginning January 1st. The Alumni Directory is continually updated and available to all paid members.

Contact US

Have something to share?

Have something to say?

We want to hear from you.

Knowing what is on your mind and benefiting from your candid feedback is an important part in helping ASECA improve. We are available to answer your questions and assist you when you need help.

Deborah Keeler, CAE(202) 735-7168info@SECAlumni.org

ASECA was founded in 1990 by U.S. Securities and Exchange Commission (“SEC”) alumni. ASECA was initially formed to continue the camaraderie that existed among ASECA members when they worked together at the SEC. Today its membership is nationwide and international. ASECA is a non-profit charitable organization whose stated mission is to provide the opportunity for education and growth of industry professionals; to promote study and research in the field of securities law; and to educate members on securities law by means of lectures, seminars and publications.

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ASECA Association of Securities and Exchange Commission Alumni, Inc.

MEMBERSHIP 2019(thru Dec. 31, 2019)

Save time - Renew or join online at www.secalumni.org

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