Annual Review of Federal Securities Regulation
Chair
Pinedo, Anna
Vice-Chair
Go, Gonzalo
Mission Statement
The Annual Review of Federal Securities Regulation Subcommittee seeks to publish, on an annual basis, a survey of significant developments in federal securities laws and regulations, as well as developments relating to accounting pronouncements and securities litigation matters, from the past year. The survey is prepared by and for securities practitioners and securities litigators, and is intended for publication in the spring edition of the ABA’s The Business Lawyer. The Business Lawyer is published quarterly and is the premier business law journal in the country with a circulation of approximately 40,000 readers.
Email Listserve: [email protected]
Civil Litigation and SEC Enforcement Matters
Chairs
Gray, Elizabeth
Lawrence, Carmen
Mission Statement
The Civil Litigation and SEC Enforcement Matters Subcommittee seeks to promote the sharing of information among its members regarding SEC enforcement priorities, changes in relevant agency or enforcement division procedures and/or policy, significant enforcement actions, and developments in the federal securities laws; to provide opportunities to meet and discuss relevant issues with representatives of the SEC and other government agencies; and to engage in special projects related to SEC enforcement or civil litigation as the Subcommittee deems appropriate.
Email Listserve: [email protected]
Credit Rating Agencies
Chair
Boresta, Robert
Mission Statement
The Credit Rating Agencies Subcommittee is intended to be a forum for ABA members who have an interest in the legal requirements that apply to credit rating agencies to engage in discussions regarding legal, regulatory and market developments involving credit rating agencies and credit ratings. We will comment on concept releases and proposed changes to SEC rules and regulations, as well as host sessions on these and related topics. The Subcommittee also proposes to act as a liaison between members of the bar who practice before the SEC Office of Credit Ratings (OCR) and members of the staff of OCR. We welcome participation from all interested members.
Email Listserve: [email protected]
Emerging Europe Private Equity & Venture Capital
Chair
Cardenas, Jonathan
Mission Statement
The mission of the Emerging Europe Private Equity & Venture Capital Taskforce is to provide a forum for discussion of current legal developments and market practices surrounding international private equity and venture capital investment in the Emerging Europe region, broadly defined. The Taskforce will facilitate discussions surrounding fund formation, fund finance, equity financing transactions and exit transactions.
Email Listserve: [email protected]
Employee Benefits, Executive Compensation and Section 16
Chair
Borges, Mark
Vice-Chair
Bahn, C Alex
Mission Statement
The Employee Benefits, Executive Compensation and Section 16 Subcommittee seeks to address topics primarily related to the intersection of executive compensation and U.S. federal securities laws and provide a forum for informed discussions among members. The Subcommittee often acts as a liaison between the membership and the SEC and its staff on selected issues and assists the Federal Regulation of Securities Committee in preparing and reviewing comment letters on applicable SEC rulemaking. The Subcommittee also partners with other subcommittees to present on topics with substantive overlap, such as employee benefits and taxation.
Email Listserve: [email protected]
FINRA Corporate Financing Rules
Chair
Neely, Gail
Vice-Chairs
Comnemos, Pallas
Mission Statement
The purpose of the Subcommittee is to act as a liaison between the NASD and members of the bar who practice before the NASD with respect to the Corporate Financing Rule and related rules, to comment on NASD rulemaking and to advise members of the Federal Regulation of Securities Committee with respect to relevant developments in NASD rulemaking and the activities of the NASD.
Email Listserve: [email protected]
ESG Joint Subcommittee of Corporate Governance and Federal Regulations
Chairs
Arnold, Michael
Pike, Stephen
Mission Statement
“Sustainability” means the capacity to endure. Sustainability considerations require a company to review risks to its strategy and evaluate opportunities that arise from sustainability issues. To the extent communication of a company’s sustainability profile provides investors with insights into how the company is strategically addressing long-term risks and opportunities.
Email Listserve: [email protected]
International Securities Matters
Chair
Castellon, Peter
Vice-Chair
Fleisher, Adam
Mission Statement
The International Securities Matters Subcommittee seeks to review and consider U.S. securities laws and regulations as they apply to foreign issuers.
Email Listserve: [email protected]
Investment Companies and Investment Advisers
Chair
Schneider, Lori
Vice-Chairs
Crawshaw, Donald
Robertson, Robert
Email Listserve: [email protected]
Private Funds
Chair
Elovitz, Mark
Mission Statement
The Private Funds Subcommittee seeks to identify and address regulatory and legislative matters of consequence to the investment managers of private funds. In meeting this goal, the Subcommittee regularly comments on rulemaking and other initiatives proposed and/or adopted by regulators in the United States and outside the United States affecting private funds; and engages in ongoing dialogue with, among others, regulators and industry participants regarding the effects of regulatory and legislative actions on the business operations of private funds and the offering and selling of interests in those funds.
Email Listserve: [email protected]
Proxy Statements and Business Combinations
Chair
Shainess, Josh
Sean Donahue
Mission Statement
The Proxy Statements and Business Combinations Subcommittee seeks to facilitate the sharing of information and discussion among members regarding developments impacting proxy statements and business combination transactions.
Email Listserve: [email protected]
Public Company Reporting and Compliance
Chair
Barros, Sonia
Vice-Chairs
Martin, Erin
Hooper, Reid
Mission Statement
The Public Company Reporting and Compliance Subcommittee’s mission is to facilitate the exchange of information about regulatory developments and best practices for disclosure and reporting under the federal securities laws. We seek to foster constructive engagement between practitioners and regulators through the submission of comment letters on proposed disclosure and reporting regulations, as well as informal discussions in our subcommittee meetings.
Email Listserve: [email protected]
Securities Law Opinions
Chair
Evans, Rob
Vice-Chair
Juergens, Eric
Mission Statement
The Securities Law Opinions Subcommittee’s mission is to enhance the quality of legal opinion practice involving U.S. securities laws. It seeks to foster national standards for legal opinions and negative assurance letters in securities offerings and other securities law matters through discussions, programs and reports.
Email Listserve: [email protected]