ASECAAssociation of Securities and

Exchange Commission Alumni, Inc.

Presents

The TwenTy-firsT AnnuAl AseCA Dinner

AnD

williAm O. DOuglAs AwArD PresenTATiOn

v

Friday, February 22, 2013

Th e rO n A l D re Ag A n Bu i l D i n g

A n D in T e r n AT i O n A l Tr A D e Ce n T e r

Elisse B. Walter

ASECA is proud to announce that Elisse B. Walter, current SEC Chairman and former SEC staff member in the Office of General Counsel and Division of Corporation Finance, has been selected as the twenty-first recipient of the William O. Douglas Award. The Douglas Award, instituted by ASECA in 1992, is conferred annually on an SEC alumnus or alumna who has contributed to the development of the federal securities laws or served the financial and SEC community with distinction. The selection of Ms. Walter recognizes her long and distinguished service as a regulator, culminating in her designation as SEC Chairman by President Obama following the resignation of Chairman Mary Schapiro.

Elisse B. Walter was sworn in as an SEC Commissioner on July 9, 2008. From the 2008 financial crisis, Commissioner Walter has been involved in countless agency initiatives, including the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act. She has served as the SEC’s representative on two multi-lateral international bodies – the International Organization of Securities Commissions and the Financial Stability Board. She also led a review of the municipal securities markets, which culminated in the Commission’s 2012 Report on the Municipal Securities Market. Commissioner Walter also sponsors the agency’s Disability Issues Advisory Committee, the Women’s Committee, and the Lesbian, Gay, Bisexual, and Transgender Committee.

Ms. Walter joined the SEC in 1977 as a staff attorney in the Office of the General Counsel and served the agency for 17 years in positions of increasing responsibility. She worked on various cases before the United States Supreme Court, including Rubin v. SEC, and developed the Commission’s amicus and policy positions on issues including tender offers, insider trading and cross-border jurisdiction. In 1986, she was named Deputy Director of the Division of Corporation Finance, where she led significant initiatives, including the 1994 Interpretive Guidance on the Antifraud Provisions with respect to municipal securities disclosure, the reworking of the regulatory framework for private institutional trading and offshore offerings, and the rules governing cross-border offerings and listings. During her first tour of duty at the SEC, Ms. Walter received, among other honors, the Presidential Rank Award (Distinguished), the SEC Chairman’s Award for Excellence, the SEC’s Distinguished Service Award, and the Federal Bar Association’s Philip Loomis and Manuel F. Cohen Younger Lawyer Awards.

Ms. Walter left the SEC in 1994 to serve as the General Counsel of the Commodity Futures Trading Commission under then-Chairman Mary L. Schapiro. In 1996, Ms. Walter joined Ms. Schapiro at NASD, predecessor to the Financial Industry Regulatory Authority (FINRA), as Executive Vice President and Chief Operating Officer of NASD Regulation. At FINRA, Ms. Walter coordinated policy issues and oversaw the organization’s Investment Company Regulation, Member Education and Training, Investor Education, and Emerging Regulatory Issues departments. She also served as a director on the FINRA Investor Education Foundation’s board.

Ms. Walter is a member of the Academy of Women Achievers of the YWCA of the City of New York and participated in the inaugural class of the DirectWomen Institute. She attended Brown University and earned her B.A., cum laude, in mathematics from Yale University and her J.D. degree, cum laude, from Harvard Law School.

Program

Opening Remarks Jonathan Katz

A Toast to the Securities & Exchange Commission Daniel Goelzer

Presentation of ASECA Awards

• Accounting Scholarship in honor of Ernest Ten Eyck Tom Riesenberg

• Law School Scholarships Amy Goodman

• Writing Competition Frank Razzano

• SEC Staff Scholarships Marti Cochran

Introduction of Elisse B. Walter Mary L. Schapiro

Remarks Elisse B. Walter

Presentation of the William O. Douglas Award Jonathan Katzto Elisse B. Walter

Closing Remarks Jonathan Katz

ASECA Board of Directors

Jonathan G. Katz, President

Thomas L. Riesenberg, Treasurer

Amy Goodman, Immediate Past President

Brandon Becker

Brian V. Breheny

Wayne Carlin

Martha L. Cochran

Linda D. Fienberg

Robert C. Friese

Kathleen G. Gallagher

John F. Hartigan

Douglas W. Hyman

Julie Bell Lindsay

Simon Lorne

Juan M. Marcelino

Andre Owens

Marvin Pickholz

Mary S. Podesta

Frank C. Razzano

Paul Roye

Honorable Stanley Sporkin-Cecile Srodes, Executive Director

Dinner Menu

Maine State Lobster Bisque with Herbed Foccacia Croutons

Freshly Baked Bread and Butter

•

Beef BourguignonCreamy Mascarpone PolentaRoasted Seasonal Vegetables

Red Wine Jus

•

Duo of

Flourless Chocolate CakeBittersweet Chocolate Cream, Toasted Rice Crunch, Amaretto

Sauce

Warm Croissant English Toffee Bread PuddingBanana Ice Cream and Dried Banana Chip

Freshly Brewed Regular and Decaffeinated CoffeesAssorted Harney and Sons Teas

WINES

Sauvignon Blanc, Kim Crawford; Marlborough, New Zealand

Cabernet Sauvignon, Conn Creek; Napa Valley, California

ASECA Congratulates the winners of the annual ASECA Awards

Brooklyn Law School Scholarships: • Margaret Corchado, Bronx, NY, intern, SEC Division of Enforcement

(January-April 2012)

• Tyler A. O’Reilly, Brooklyn, NY, intern, Asset Management Unit, SEC Division of Enforcement, New York Regional Office (Fall 2012)

Georgetown University Law Center Scholarship: • Charles Lee, Washington, DC, attorney-adviser, SEC Division of

Corporation Finance; enrolled in LL.M program

Northwestern University School of Law Scholarship• Amanda Leese, Chicago, IL, summer honors legal intern, SEC Division

of Corporation Finance (May-August 2012)

Southern Methodist University Dedman School of Law Scholarship• Michael R. Andrews, Dallas, TX

Stanford Law School Scholarship• Stefanie Shih

The George Washington University Accounting Scholarship in honor of Ernest Ten Eyck• Gabrielle Viscomi, Randolph, NJ

Writing Competition:• Michael Palmisciano, Boston College Law School, first place for Going

Dutch: The Effects of Domestic Restriction and Foreign Acceptance of Class Litigation on American Securities Fraud Plaintiffs (Published Boston College Law Review, November 2012)

• Lisa Goldstein, George Mason University School of Law, second place for The Janus-Faced Supreme Court: The Decision in Janus Capital Group and Implications of the Court’s Third Look at Secondary Liability for Securities Fraud (Published 20 George Mason Law Review 311 (2012))

• Vladislava Soshkina, William and Mary School of Law, third place for Beyond Morrison: The Effect of the “Presumption against Extraterrito-riality” and the Transactional Test on Foreign Tender Offers (Published William and Mary Law Review, October 2012)

SEC Staff Scholarships:

• Jeri A. Abbott Legal Assistant Chicago Regional Office

• Tracey L. Allen Legal Technician Chicago Regional Office

• Patricia Banson Program Analyst Office of International Affairs

• Charlene Dudley Program Analyst Office of Compliance Inspections & Examinations

• Janet Hall Legal Assistant Chicago Regional Office

• LaTanya D. House-Simpson Program Support Assistant Division of Investment Management

• Sheila McCoy Administrative Assistant Office of Investor Education & Advocacy

• Alysia R. Morrow Research Specialist Freedom of Information and Privacy Act Office

• Jennifer L. Patterson Program Support Assistant Fort Worth Regional Office

• Vernita Rogers Legal Technician Chicago Regional Office

Save the date!

The twenty-second annual

aseca dinnerand

William O. Douglas Award presentation

will be held on

Friday, February 21, 2014

in the

Ronald Reagan Building and

International Trade Center

ASECA Salutes Past Winners of the William O. Douglas Award

1992 Irving M. Pollack

1994 Stanley Sporkin

1995 Kevin T. Duffy

1996 A.A. Sommer, Jr.

1997 Arthur F. Mathews

1998 Frank M. Wheat

1999 Stephen L. Hammerman

2000 Arthur Levitt

2001 Richard Phillips

2002 Alan B. Levenson

2003 Aulana L. Peters

2004 Theodore A. Levine

2005 Edward F. Greene

2006 Paul Gonson

2007 David S. Ruder

2008 Mary L. Schapiro

2009 Richard G. Ketchum

2010 William R. McLucas

2011 Harvey L. Pitt

2012 Daniel L. Goelzer

ASECA Thanks the Sponsors of the Twenty-first Annual Dinner

Akin Gump Strauss Hauer & Feld

AlixPartners

Allen & Overy

Arnold & Porter LLP

Baker Botts LLP

Bingham McCutchen LLP

Center for Audit Quality

Cleary Gottlieb

Covington & Burling LLP

Cravath, Swaine & Moore LLP

Davis Polk & Wardwell LLP

Debevoise & Plimpton LLP

Dechert LLP

Deloitte

Duane Morris LLP

Ernst & Young

FINRA

Foley & Lardner LLP

Fried, Frank, Harris, Shriver & Jacobson LLP

FTI Consulting

Fulbright & Jaworski LLP

Gibson, Dunn & Crutcher LLP

Investment Company Institute

Jones Day

Kalorama Partners

Kirkland & Ellis LLP

K&L Gates LLP

KPMG

Latham & Watkins LLP

McDermott Will & Emery

Millennium Management

Morgan Lewis

Morrison & Foerster

Murphy & McGonigle

NYSE Euronext

O’Melveny & Myers LLP

Paul Weiss

Pepper Hamilton LLP

Perkins Coie

PricewaterhouseCoopers LLP

Ropes & Gray LLP

Schiff Hardin LLP

Sidley Austin LLP

Simpson, Thacher & Bartlett

Skadden, Arps, Slate, Meagher & Flom LLP

Steptoe & Johnson LLP

StoneTurn Group

Stradley Ronon

Sutherland Asbill & Brennan LLP

TIAA-CREF

Vedder Price

Wachtell, Lipton, Rosen & Katz

Weil Gotschal & Manges

Willkie Farr & Gallagher LLP

WilmerHale LLP

Winston & Strawn LLP

bingham.com

Congratulations to

Elisse B. Walter,

2013 recipient of the

William O. Douglas Award.

—Your friends at Bingham

The CAQCongrATulATes

Elisse B. Walter

reCipienT of The WilliAm o. DouglAs AWArD

www.thecaq.org

A prouD sponsor of The TWenTy-firsT AnnuAl AseCA Dinner

Debevoise is pleased to support the Association of Securities and Exchange Commission Alumni

And we join in honoring Elisse B. Walter

New York

Washington, D.C.

London

Paris

Frankfurt

Moscow

Hong Kong

Shanghai

www.debevoise.com

Dechert congratulates

The Honorable Elisse B. WalterRecipient of the 2013 William O. Douglas Award

dechert.com

Almaty • Austin • Beijing • Boston • Brussels • Charlotte • Chicago • Dubai • Dublin • Frankfurt • Hartford

Hong Kong • London • Los Angeles • Luxembourg • Moscow • Munich • New York • Orange County • Paris

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Duane Morris is proud to support

ASECAand joins in honoring

Elisse B. Walter,the William O. Douglas Award recipient

Duane Morris – Firm and Affiliate Offices | New York | London | Singapore | Los Angeles | Chicago | Houston | Hanoi | PhiladelphiaSan Diego | San Francisco | Baltimore | Boston | Washington, D.C. | Las Vegas | Atlanta | Miami | Pittsburgh | Newark | Boca Raton

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DuAnE MorriS SEC AluMni:Howard Kristol, Laurence Lese,

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For more information, please contact:MArvin G. PiCkholz

P: 212.692.1050mgpickholz@duanemorris.com

1045163 - 2013 AESCA charity ad- text turned to outlines.indd 1 1/29/2013 11:32:40 AM

Washington, D.C.

A FITTING HONOR FOR A WONDERFUL

PUBLIC OFFICIAL

We are delighted to join ASECA and the multitude of friends, admirers, current

SEC colleagues, and SEC Alums in paying well-deserved tribute to

SEC CHAIRMAN ELISSE WALTER the recipient of this year’s William O. Douglas Award.

A brilliant lawyer, creative and fair-minded regulator, beloved colleague, leader and friend, Elisse bestows honor, prestige, and distinction

upon government and the nation’s fi nancial services community.

Kalorama Partners, LLC Kalorama Legal Services, PLLC

www.kirkland.com

ASECA Annual Dinner (4.5 x 7.5 PMS 295C)_Kirkland.pdf 2 1/29/2013 10:25:41 AM

LW.com

Congratulations

to

Elisse B. Walter

Recipient of the 2013 William O. Douglas Award

Abu Dhabi

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* In association with the Law Office of Salman M. Al-Sudairi

Hong Kong

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“ My creed is that public service must be more than

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a complete dedication to the people and to the

nation with full recognition that every human

being is entitled to courtesy and consideration, that

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fought, that honor is to be earned, not bought.”

– Senator Margaret Chase Smith

Madame Chairman Walter,

We are simply delighted to participate in

honoring you for your career-long dedication

to public service. Thank you.

The Millennium Management and Employees’ Foundation

Izzy Englander

Simon Lorne

We are pleased to join ASECA in honoring

Elisse B. Walteras the recipient of the 21st Annual William O. Douglas Award

John V. Ayanian

Lloyd H. Feller

Mark D. Fitterman

Anne C. Flannery

Linda L. Griggs

Ivan P. Harris

John F. Hartigan

Beth D. Kiesewetter

Rebecca Leon

Christian J. Mixter

Richard F. Morris

Donald J. Myers

John F. X. Peloso

Susan D. Resley

Gail A. Pierce

Robert M. Romano

Ignacio A. Sandoval

Alan Singer

David A. Sirignano

E. Andrew Southerling

George G. Yearsich

salutesalutesalute

morrison & Foerster is Proud to suPPortASECA

We are Morrison & Foerster—a global firm of exceptional credentials. Our

clients include some of the largest financial institutions, investment banks,

Fortune 100, technology and life science companies. We’ve been included on

The American Lawyer’s A-List for nine straight years, and Fortune named

us one of the “100 Best Companies to Work For.” Our lawyers are committed

to achieving innovative and business-minded results for our clients, while

preserving the differences that make us stronger.

We congratulate this year’s honoree, Elisse B. Walter

©2013 Morrison & Foerster LLP, mofo.com

Murphy & McGonigle, P.C.

Congratulates

Elisse B. Walter

Recipient of The William O. Douglas Award

MURPHY &

cGONIGLE

ATTORNEYS AT LAW

555 13th STREET, N.W., SUITE 410 WEST

WASHINGTON, D.C. 20004

PHONE 202.661.7000 FAX 202.661.7059

Office Locations

Richmond, VA Washington, D.C. New York, NY 804.762.5320 202.661.7000 Midtown – 212.880.3999 Downtown – 212.825.9811

Murphy & McGonigle, P.C. SEC Alumni

• Larry Bergmann • Daniel Brown • Matthew Comstock • William Donnelly • Joseph Goldstein

For More Information Call: Thomas J. McGonigle at (202) 661-7010

• Jerry Isenberg • Joseph Lombard • Thomas McGonigle • Timothy Peterson

A Professional Corporation

NYSE EURONEXT PROUDLY SUPPORTS THE

TWENTY-FIRST ANNUAL ASECA DINNERWe Salute Tonight’s Honoree Elisse B. Walter

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O’Melveny & Myers LLPis proud to support the

ASECA21st Anniversary Dinner

and we salute the recipient of

the 2013 William O. Douglas Award

Elisse B. Walter

We are pleased to support the

Association of Securities and

Exchange Alumni, Inc. and

salute the 2013 William O. Douglas

Award honoree, Elisse B. Walter.

www.pepperlaw.com

Berwyn | Boston | Detroit | Harrisburg | Los Angeles New York | Orange County | Philadelphia | Pittsburgh

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Attorneys at Law

Pepper Hamilton’s SEC Alumni

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A N C H O R A G E · B E I J I N G · B E L L E V U E · B O I S E · C H I C A G O · D A L L A S · D E N V E R

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Perkins Coie is proud to support the 21st Annual ASECA Dinner and Presentation of the William O. Douglas Award to Elisse B. Walter.

We would like to recognize our attorneys with SEC experience:

Named one of FORTUNE magazine’s “100 Best Companies to Work For” for 11 consecutive years (2003–2013)

Integrity. Leadership. Trust.For over 21 years, the ASECA has been providing opportunities for camaraderie among SEC alumni, education and growth of industry professionals, promoting study and and educating members. We are proud to support its efforts and congratulate this year’s honoree, Elisse B. Walter.

www.pwc.com

© 2013 PricewaterhouseCoopers LLP, a Delaware limited liability partnership. All rights reserved.

Ropes & Gray

is proud to support

ASECA

and congratulates

Elisse B. Walter

on being honored with this year’s

William O. Douglas Award.

�

©2013, Ropes & Gray LLP

www.sidley.com

James A. Brigagliano Washington, D.C.

Paul V. Gerlach Washington, D.C.

David M. KatzNew York

Laurin Blumenthal KleimanNew York

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Sidley Austin LLPis proud to sponsor

ASECA’sTwenty-fi rstAnnual Dinner

and congratulatesWilliam O. DouglasAward Recipient

Elisse B. Walter

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21st Annual ASECA Dinner

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proudly supports

ASECA

Congratulations to our valued

friend and colleague, and tonight’s

distinguished recipient of the

William O. Douglas Award

Elisse B. Walter

The 21sT AnnuAl AseCA Dinner

February 22, 2013

Thank You

Cecile SrodesASECA Executive Director

2006 - 2013

for your tireless efforts on behalf of ASECA, for the professionalism you brought to our organization, and for the grace with which you carried out

your work on behalf of SEC alumni.

From the ASECA Board of Directors with our deep appreciation on the

occasion of your retirement, February 22, 2013

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.

www.secalumni.org