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.

2019 Meeting Schedule:
January 16 (part of Annual Meeting)
February 20
March 20
April 17
June 19

In the event of meeting schedule changes, Committee members will be notified via email. For questions, contact [email protected].

Private Investment Funds Subcommittee

Recent Committee Activity

Links of Interest

Click to view the Committee Roster.

Online Community
As an exciting feature of the Business Law Section’s online Community, we have created sub-Communities for our practice area committees. If you are a member of the BLS, you can access all of the sub-committee discussions and information. If you join that committee, you can post on that committee's sub-Community. See more details and access the Business Law Section’s Community here.

Join this Committee
Membership in this Committee is a benefit available to Business Law Section members. To join, email [email protected] with your request.

New to the practice area or want a refresher? 
Business Law Section members can purchase the Securities Law 2018 segment of our 2018 "Fill in the Gaps" Business Law Basics MCLE course for $5. Learn more >