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.
- 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.