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
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 2015 Meeting Schedule
Securities Regulation Committee 2016 Meeting Schedule
Private Investment Funds Subcommittee
Recent Committee Activity
Links of Interest
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