Advisory
Annual Review of Federal Securities Regulation
Chair:
Pinedo, Anna
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Civil Litigation and SEC Enforcement Matters
Chair:
Gray, Elizabeth
Lawrence, Carmen
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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.
Cryptocurrency and Blockchain and Their Impact On the Asset
Chair:
Baris, Jay
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Disclosure and Continuous Reporting
Chair:
Drexler, Kimberley
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Employee Benefits, Executive Compensation and Section 16
Vice-Chair:
Bahn, C Alex
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FINRA Corporate Financing Rules
Chair:
Fleischman, Dana
Vice-Chair:
Baich, Daniel
Vasi, Valentino
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.
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Financial Services and the European Community
Fund Director
Chairs:
Schneider, Lori
Donohue, Andrew
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Governance and Sustainability
Chairs:
Jaffari, Katayun
Lynn, David
Cleveland, Nancy
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Hedge Funds
Chair:
Barbash, Barry
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International Securities Matters
Chair:
Castellon, Peter
Vice-Chair:
Fleisher, Adam
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Investment Companies and Investment Advisers
Chair:
Schneider, Lori
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Investment Company Use of Derivatives and Leverage
Chair:
Baris, Jay
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Listing Standards of Self-Regulatory Organizations
Offering and Trading of Tokenized Securities
Chair:
Lerner, Linda
Vice-Chair:
Hewitt, Martin
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Proxy Statements and Business Combinations
Chair:
Brown, Lillian
Vice-Chair:
Donahue, Sean
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SEC FOIA Rules
Securities Law Opinions
Chair:
Kim, Thomas
Vice-Chair:
Kaplan, Matthew
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Securities Registration
Mission Statement: The Securities Registration Subcommittee is intended to be a forum for engaged discussions regarding existing and proposed regulations related to the offering of securities, updates to disclosure requirements, updates to financial statement requirements, and other securities offering related regulations. The Subcommittee also focuses on legal, regulatory and market developments involving securities offering methodologies. We comment on concept releases, proposed changes to SEC, PCAOB and FINRA rules and regulations, as well as host sessions and listserve discussions on these and related topics. We welcome participation from all interested members.
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Small Business Issuers
Chair:
Roe, Bonnie
Vice-Chair:
Ross, Gary
Mission Statement: Our Subcommittee addresses the securities law issues faced by smaller companies, both public and private. The primary focus is on legal issues involved in raising capital in public and private markets, via registered offerings, private placements, Regulation A, crowdfunding and other securities offering exemptions available to smaller companies. Ongoing securities law disclosure and compliance issues are also topics covered by the Subcommittee.
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Task Force on Securities Holding Infrastructure
Chairs:
Mooney, Jr., Charles
Rocks, Sandra
Mission Statement: The Task Force on Securities Holdings Infrastructure will (i) examine the infrastructure for the intermediated holding of securities in the United States, (ii) identify. analyze, and assess the significance of any problems associated with the infrastructure, and (iii) identify and assess plausible means of addressing any problems.
Trading and Markets
Chair:
Paz, Marlon
Mission Statement: The Trading & Markets Subcommittee is composed of ABA members, many of whom are industry leaders, who have a keen interest and expertise with the legal requirements that apply to the major participants of the U.S. securities markets, such as brokers, dealers, exchanges, clearing agencies, alternative trading systems (ATS), transfer agents, credit rating agencies, securities information processors, and the Securities Investor Protection Corporation. We monitor, advise and, at times, participate in the rulemaking activities of the SEC and self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), exchanges, or clearing agencies. The Trading & Markets Subcommittee works closely with the SEC, FINRA, MSRB, and the major participants of the U.S. securities markets – serving as a key resource on substantive legal and policy considerations to foster fair, orderly, and efficient markets.
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