American Bar Association
 
Federal Regulation of Securities Committee

ABA Section of Business Law


Federal Regulation of Securities Committee


Mission Statement



The mission of the Federal Regulation of Securities Committee is to be the principal Business Law Section committee dealing with the Federal securities laws, provide meaningful meetings, programs and information to practitioners covering a wide range of securities law topics, and through our comment letters, to be a significant resource to the SEC.



Committee Facts





  • Approximately 2,500 members meet three times a year: at the Business Law Section's Spring Meeting, the Business Law Section Annual Meeting, and a Fall Meeting in Washington

  • Our meetings often include significant participation by SEC staff members, with a great opportunity for dialogue

  • We operate through subcommittees that focus on a full range of securities law topics

  • We sponsor and co-sponsor CLE programs at our meetings, covering the latest developments in securities law and practice

  • We comment on SEC rule proposals; our letters are regularly cited in the SEC's final rulemaking releases

  • We also review the rules and procedures of FINRA and other entities relating to federal securities law practice

  • We provide members significant opportunities to participate in our activities


Areas of Expertise





  • Public and private securities offerings

  • Public company disclosure obligations

  • SEC and civil enforcement of the securities laws

  • Employee benefits and executive compensation

  • Proxy statements

  • Trading and markets

  • Investment companies and investment advisers

  • Hedge funds

  • Securities law opinion practice

  • Securities law considerations in mergers and acquisitions

  • International securities matters

  • Smaller reporting companies

  • FINRA corporate financing rules


How to Get Involved?



Are you interested in joining or working with the Federal Regulation of Securities Committee? The Committee meets three times a year - at the Business Law Section's Spring Meeting, the Business Law Section Annual Meeting, and a Fall Meeting in Washington. Most of our work is done at these meetings and we welcome anyone to join us. You also can get involved with the Committee by submitting articles to be published on the Committee's website and/or in other Business Law Section publications. You can contact Arian June, Publications Director, if you are interested in submitting articles or website content. You also are welcome to contact Cathy Dixon, Committee Chair, to find other ways to get involved.


Annual Reviews




Program Materials




Related Products



Fund Director's Guidebook, Third Edition
Written for Directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds. the Third Edition offers sug... more

Join Us



- Join Our Committee
- Join Our Section
- Join The ABA


Leadership



Chair:  Catherine T Dixon

Committee Roster (2519 total members)


Subcommittees and Task Forces Click [+] for listing



 Sub Committees
 Task Forces

Upcoming Programs, Meetings and Events



Section Events
April 22, 2014
Location: N/A
Format: Webinar/Teleconference

April 23, 2014
Location: N/A
Format: Webinar/Teleconference

April 23, 2014 - April 25, 2014

Washington,
DC
Format: Live/In-Person

Listserves (help)



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Materials



Dialogue with the SEC Director of Corporation Finance
Notes from the 2013 Annual Meeting's 'Dialogue with the Director' Program
SEC and Other Comment Letters
Reports
Special Studies
Securities Sites of Interest
Resources
Law of Private Placements (Non-Public Offerings) Not Entitled to Benefits of Safe Harbors--A Report (The Business Lawyer; Vol. 66, November 2010)
Keynote Speeches
Report of the Task Force on Investment Company Use of Derivatives and Leverage (July 6, 2010)
Illustrative Access Bylaw (Exposure Draft, Committee Task Force on Shareholder Proposals - 6/15/09)

Newsletter Archive



The Securities Reporter

Modified by Graham Hunt on March 26, 2014

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