Federal Regulation of Securities Subcommittees

Advisory

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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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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

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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

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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

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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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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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