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Business Law Section: Committee on Securities Law

Join the Securities Law Committee and Its Email List
CHAIR: VICE- CHAIR:

D. Scott Freed
Whiteford, Taylor & Preston
7 Saint Paul Street
T:  410-347-8763
F:  410-347-9414
e-mail:  sfreed@wtplaw.com

Current Securities Law Committee Roster

Penny Somer-Greif
Ober, Kaler, Grimes & Shriver, P.C.
120 East Baltimore Street
Baltimore, Maryland  21202
T:  410-347-7341
F:  443-263-7541
e-mail: psomergreif@ober.com

 


RECENT DOCUMENTS:

PRESENTATIONS AND WEBINARS:

Broker-Dealer Placement Agent
Private Placements
What is a Security?


AGENDAS/MINUTES OF COMMITTEE MEETINGS:

Securities Law Committee Meeting Agendas | View Archive |
Agenda - April 19, 2012
Agenda - January 19, 2012

Securities Law Committee Meeting Minutes
| View Archive |
          Minutes from Meeting of February 14, 2008


ARTICLES/MEMOS:
Memo- Adoption of Rules Requiring Internet Availability of Proxy Materials and Other Recent SEC Developments (Sept 2007)
Memo- Amendments to Rules 144 and 145 Shorten Required Holding Periods and Revise Other Requirements for Selling Restricted Stock (Dec-17-07)
Memo- Exemption for Exchange Act Registration of Compensatory Stock Options (Jan-8-08)
Memo- Adoption of Smaller Reporting Companies Category and Integration of Regulation S-B requirements into Regulations S-K and S-X (Jan-8-08)
Memo- Revisions to Registration Statements on Forms S-3 and F-3 to Allow Their Use by Companies with Less than $75 Million Public Float (2-1-08)
Article- Audit Committees: Independent Advisors are No Longer an Option


TOPICS/WEBSITES OF INTEREST:


Small Entity Compliance Guide to Changeover to the SECs New Smaller Reporting Company System


USEFUL LINKS:


Maryland Attorney General Securities Division



MISSION STATEMENT:

The primary purposes of the Committee are to (i) monitor developments in federal and state (specifically, Maryland) securities law, particularly with respect to securities offering exemption and registration requirements, and related developments including PCAOB and SRO changes that are applicable to the practices of our members, with an emphasis on how these developments impact smaller companies, (ii) disseminate this information to our members though e-mails, meetings, and postings to the Committee’s website, and (iii) comment on proposed new rules and regulations when particularly relevant to the securities practices of the Committee’s members.