Washington, District Of Columbia 20006
Brandon Becker's practice focuses on advising broker-dealers and other financial market participants regarding various transactional and regulatory matters, as well as the development of new financial products and trading systems. Mr. Becker joined the firm in 1996 and served as co-chair of the Broker-Dealer Compliance and Regulation Practice until 2009 when he became the executive vice president and chief legal officer for TIAA-CREF, where he led the company's legal and compliance, corporate secretary, government relations, corporate governance and internal audit functions. He rejoined WilmerHale in 2015.
From 1978 to 1996, Mr. Becker was a lawyer at the Securities and Exchange Commission where he served as Director of the SEC's Division of Market Regulation (now Trading and Markets) and was responsible for the SEC’s program to oversee securities professionals and markets. In addition, he served as a staff member of the President’s Working Group on Financial Markets; as a member of the Financial Products Advisory Committee of the Commodity Futures Trading Commission; and the SEC's representative to the Secondary Markets Working Party of the International Organization of Securities Commissions.
Mr. Becker has advised a wide range of clients including corporations, banks, broker-dealers, hedge funds, trading markets and trade associations. His work covers the entire range of securities regulation. He has advised broker-dealers on regulatory issues raised by the purchase and sale of broker dealers as well as investments in new trading systems and markets. He has advised broker-dealers and hedge funds about compliance matters (e.g., the regulatory characterization of various swap transactions; order handling procedures; and trade booking techniques for intermediaries with a global business). In addition, he has represented broker-dealers in enforcement-related inquiries by self-regulatory organizations and the SEC.
|Areas of Practice||1) Corporate, 2) Securities, 3) Broker-Dealer and 4) Compliance and Regulation|
|Law School||Columbia Law School (LLM,1979);University of San Diego, School of Law (J.D.,1997)|
|Education||University of Minnesota, Minneapolis (B.A.,1974)|
|Bar Member / Association||District of Columbia State Bar Associations,New York State Bar Associations,California State Bar Associations|
|Most recent firm||Wilmer Cutler Pickering Hale and Dorr LLP|
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