Welcome to the Association of Securities & Exchange Commission Alumni website

ASECA is a non-profit charitable organization that fosters the shared history and unique camaraderie between SEC alumni globally.

Founded in 1990 to connect members who worked together at the Securities and Exchange Commission, ASECA boasts a network of nearly 1,000 SEC alumni worldwide. Read more about ASECA here.

From this site, ASECA members will have access to an online membership directory and have access to historical information.

If you misplaced a newsletter or want to see pictures of an annual dinner that you missed, it's all here.

The 30th Annual ASECA Dinner

and William O. Douglas Award Presentation

will be held Monday, May 19, 2025

Join us for this special evening that highlights the 2025 William O. Douglas Award honoree, Robert Colby, and includes a special pre-dinner cocktail reception, co-hosted by PLI and ASECA.

Our Annual Dinner serves as a crucial fundraiser to support initiatives that advance professional development, educational scholarships, and networking opportunities for career advancement. As a non-profit charitable organization, ASECA is dedicated to fostering the growth of industry professionals, promoting interest in securities law, and connecting members through nationwide events.

Location

     Marriott Marquis Grand Ballroom

     901 Massachusetts Ave. NW, Washington, DC 20001

 Schedule

     5:30 p.m. PLI-ASECA co-hosted Cocktail Reception

     7:00 p.m. Dinner and Award presentation

Reserve your spot!

We invite you to join us for an unforgettable evening, where your presence will make a lasting impact. We offer various attendance levels—please visit our registration page for more details on tickets and sponsorship opportunities.

Your generous contributions directly empower our scholarship and educational programs, helping members stay informed about securities law, and engage in meaningful discussions about the SEC’s history and future. Our alumni events also build community, connecting members to share ideas and form lasting professional relationships. Together, we continue to drive progress and advance careers within the industry.

For additional information or assistance, please contact our Executive Director, Deborah Keeler, at [email protected] or call 202-735-7168.

Honoring Excellence

Announcing the William O. Douglas Award 2025  

Robert Colby

ASECA is proud to announce that Robert Colby has been selected as the recipient of the 2025 William O. Douglas Award. This prestigious award is presented to an SEC alumnus who has made significant contributions to the development of the federal securities laws or has served the financial and SEC community with distinction. Mr. Colby will be honored at the Annual ASECA Dinner in Washington, D.C. on May 19, 2025.

Robert Colby had an impressive 27-year career with the SEC, where he played a key role in shaping and implementing investor protection policies, as well as rules and interpretations governing broker-dealers, securities markets, and clearance and settlement systems.  At the SEC, Mr. Colby served for 17 years as Deputy Director of the Division of Trading and Markets; prior to that he was Chief Counsel of the Division and Chief of the Division’s Branch of Market Structure. Mr. Colby began his career at the SEC as a staff attorney.

Mr. Colby currently is the Chief Legal Officer of the Financial Industry Regulatory Authority (FINRA).  In this role, he oversees FINRA's rulemaking, compliance, litigation, and corporate legal functions, as well as its appellate office and the departments of advertising regulation, corporate financing, and dispute resolution. Prior to joining FINRA, Mr. Colby was a partner at the law firm Davis Polk & Wardwell LLP, where he provided counsel on regulatory and compliance matters for financial institutions and markets.

Please join us in congratulating Mr. Colby and save the date for the 30th Annual ASECA Dinner on May 19, 2025. This special evening will bring together industry leaders for an unforgettable night of networking and discussions. Ticket details will be announced soon – we hope you can join us for this important event.

Second Annual Judge Stanley Sporkin SEC Enforcement Panel

Co-sponsored by Georgetown Law

 
The Second Annual Judge Stanley Sporkin SEC Enforcement Panel was held on February 20, 2025.

Thank you to Acting SEC Chair Mark Uyeda, the panelists, the sponsors, attendees, and co-sponsor Georgetown Law for a successful event. The event was a unique opportunity to hear firsthand from those who shaped the SEC's enforcement strategies over the years.

The esteemed panel includes:

• Bill McLucas, Partner, WilmerHale (Director, 1989-1998) – Moderator
• Rob Khuzami, Chief Legal Officer, Guggenheim Partners (Director, 2009-2013)
• Linda Chatman Thomsen, Davis, Polk & Wardwell (Director, 2005-2009)
• Dick Walker, King & Spalding-retired (Director, 1998-2001)

This event would not have been possible without the generosity of our sponsors whose support directly contributes to the Judge Stanley Sporkin Memorial ASECA Endowed Scholarship, ensuring Judge Sporkin's legacy continues to inspire future leaders in securities law. Thank you to our sponsors for this event.

 To donate to the ASECA Scholarship Fund, please click here.

ASECA is a 501(c)(3) non-profit organization and your charitable contributions are tax-deductible to the full extent allowed by law.