Securities Regulation Committee

The Securities Regulation Committee reviews new U.S. and international proposals and developments concerning securities regulation, informs members of significant developments in these areas and advocates positions through the preparation and submission of comment letters and articles regarding securities regulation of companies. It also monitors and comments on developments regarding: the securities and investment adviser industries, corporate governance , financial reporting and financial market regulations.

The Committee on Securities Regulation is composed of members of the New York State Bar Association, a principal part of whose practice is in securities regulation. The Committee includes lawyers in private practice and corporation law departments, as well as lawyers serving in New York State government agencies.

Our Committee meets one evening each month for approximately 2-2½ hours, during which time we have presentations by members and guest speakers covering a variety of topics under both federal and state securities laws. We also participate in the preparation of comment letters on New York State legislative proposals, rule proposals of the United States Securities and Exchange Commission and proposals of administrative agencies such as FINRA.

Securities Regulation Committee 2014 Meeting Schedule

Private Investment Funds Subcommittee

Recent Committee Activity

Links of Interest

Click to view the Committee Roster.

Join this Committee
Membership in this Committee is a benefit available to Business Law Section members. To join, email businesslaw@nysba.org with your request.