Heather L. Traeger
is a partner in O’Melveny’s Washington, DC office and a member of the Financial Services Practice. Heather advises financial institutions on their regulatory and compliance obligations under the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other federal and state laws and regulations affecting investment companies, advisers, and broker-dealers.
Prior to joining O’Melveny, Heather was Associate Counsel at the Investment Company Institute (ICI), where her work focused on regulation and legislation, including Dodd-Frank and other initiatives, that are transforming the oversight and operation of investment companies, advisers, and broker-dealers. She also coordinated ICI’s activity on “pay-to-play” regulatory initiatives concerning management of public plan assets. Previously, during nearly a decade at the Securities and Exchange Commission, Heather served in several positions, including Senior Counsel to Commissioner Roel Campos, Counsel to Commissioner Isaac Hunt, and Senior Counsel in the Division of Market Regulation (now Trading and Markets).
Honorable Margaret Garner Mirabal, Court of Appeals for the First District of Texas Author,
“Compliance Issues for Establishing New Client Relationships
,” (April 2013, Investment Lawyer
) (with Kris Easter and Matthew Cohen); “Democratizing Entrepreneurship: An Overview Of the Past, Present, and Future of Crowdfunding
,” (February 2013, Securities Law Daily
) (with Theodore W. Kassinger, and Zachary D. Kaufman); “Understanding and Complying with New SEC Rules and Regimes” (2013 Edition, SEC Compliance Best Practices, Aspatore Book); The ‘End User’ Exception to the Mandatory Clearing of Swaps
(October 2012, Westlaw Journal Derivatives
); “Trading and Brokerage for Asset Managers” (August 2012, Course Manual for Regulatory Compliance Association); Fixed Income Markets in 2012
(June 2012, The Review of Securities & Commodities
); Assessing the Future of the Dodd-Frank Act
(February 2012, Law.com)Faculty,
CCO University, Regulatory Compliance Association Member,
Board of Editors, Investment Lawyer