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.


Program Materials


Related Products

Join Us


Leadership

Chair:

Lynn, David

Vice-Chair:

Paz, Marlon

Committee Roster  


Subcommittees and Task Forces  (click [+] for listing)

 Sub Committees


Upcoming Programs, Meetings and Events

Section Events

    M&A Survival Guide to Selling the Closely-Held Business

    08/29/2018-08/29/2018

    Offering a comprehensive introduction to the art and science of selling a closely-held business, the panelists will cover the basic corporate law issues relevant to a private M&A transaction including: transaction structuring auctions and other deal processes to maximize seller leverage key deal ...

    2018 Business Law Section Annual Meeting

    09/12/2018-09/15/2018
    Fairmont Austin
    Austin

    **PLEASE START HERE FOR REGISTRATION AND TO ADD TICKETED EVENTS (LUNCHES/DINNERS) TO YOUR REGISTRATION** TO ADD EVENTS TO AN EXISTING REGISTRATION: Click on Register Now, which will prompt you to log-in with your ABA credentials. After logging in, click on View Registration. ...

    Negotiating Private Company Acquisitions: The Most Contentious Deal Points

    09/20/2018-09/20/2018

    Three seasoned M&A practitioners from across the country will engage in illustrative negotiations of key representations, walk rights and indemnification provisions in an agreement for the acquisition of a privately held company, in order to illuminate the conflicting positions of sellers and buyers. ...


Key Materials


Annual Reviews Archive


Listserve

In order to send a message to the listserve, send a message to the email address below. You must be a member of the Committee to successfully send a message to the listserve.

BL-FEDREGS-COM@mail.americanbar.org

In order to access the listserve archive, please click here.


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Modified by Graham Hunt on March 1, 2018

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