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Securities Regulation Committee

The Securities Regulation Committee focuses on current legal and policy issues relating to securities regulation, as well as securities markets and industry participants. Committee members are drawn from law firms, corporations, investment banks, institutional investors, government agencies and academia, and represent diverse viewpoints and legal practices. The Committee is active in commenting on rule proposals by the Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board and the Financial Industry Regulatory Authority and has most recently commented on multiple SEC proposals to implement the Jumpstart Our Business Startups Act of 2012 (JOBS Act).


Recent Reports

Letter to the SEC commenting on the proposed pay ratio disclosure (File No. s7-07-13) (December 2013) ( PDF format ) 
Subject area: Pay Ratio Disclosure

Comments on Proposed Amendments to Regulation D, Form D and Rule 156: File No. S7-06-13 (September 2013) ( PDF ) 
Subject area: General Solicitation, Use of

Letter to the SEC commenting on proposed amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 which would implement Section 201 (a) of the Jumpstart Our Business Startups Act of 2012 ( "JOBS Act") and eliminate the prohibition against general solicitation and general advertising (October 2012) ( PDF format )
Subject area: JOBS Act

For the full list of committee reports click here