Securities Regulation Committee

The mission of the Securities Regulation Committee is to foster professional excellence in the practice of securities law in the Philadelphia region by providing a forum:

  • to educate members of the Bar Association on the substantive aspects of federal and state securities regulation;
  • to study, discuss and comment upon new developments and proposed regulations under federal and state securities laws;
  • to enhance interaction among the legal, financial, investing and regulatory communities;
  • to foster collegiality among securities practitioners, including private, in-house and government attorneys, and encourage the involvement of younger attorneys; and
  • to promote the work and objectives of the Business Law Section of the Bar Association.

In so doing, the Committee seeks to enhance the understanding and involvement of all Bar Association members in the practice of securities law and respect for the securities regulatory system.

Upcoming Events

CLE - SEC Enforcement Developments

Wednesday, February 28, 2018

12:30 – 1:30 p.m.

Philadelphia Bar Association
11th Floor Conference Center
1101 Market Street
Philadelphia, PA 19107

Registration Here

Join us for a lively hour of discussion regarding SEC enforcement trends and what to expect in the coming year. Hear from practitioners and the Commission staff regarding the significance of the 2017 enforcement results, current hot SEC cases and likely future trends.


  • Jay Dubow, Partner, Pepper Hamilton
  • Kelly L. Gibson, Associate Regional Director, U.S. Securities and Exchange Commission
  • Richard A. Levan, Levan Legal, LLC and co-chair, Securities Regulation Committee


Peter Jaslow photo

Peter Jaslow
Ballard Spahr LLP
1735 Market Street
51st Floor
Philadelphia, PA 19103
(215) 864-8737

Peter Jaslow photo

Richard A. Levan
Levan Legal LLC
Two Bala Plaza
Suite 300
Bala Cynwyd, PA 19004
(610) 660-7781