Securities Regulation Committee
A message from the Chair
Howard Dicker,
Esq.
About the Committee
The 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.
Committee
Activity in Review
Agencies and
Resources
Articles
and Publications
Comment
Letters
Committee
Roster
Committee
MeetingsPrivate Investment Funds
Subcommittee
Join
this Committee
Connect on LinkedIn! (members only)
www.nysba.org/SecuritiesRegulationLinkedIn
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