Committee

Securities Law and Disclosure

Advises on developments in federal securities laws and produces organizational content pertaining to securities laws and disclosure practices in the municipal securities market.

Latest from the Committee

More Securities Law ResouRces
  • Comments

Joint Response to ABS Conflicts of Interests Proposal

Comments submitted by a NABL-led coalition in response to the SEC’s request for comments on its proposed rule “Prohibition Against Conflicts of Interest in Certain Securitizations.”

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  • Webinars

Roundtable on FDTA

Member-exclusive webinar and open discussion on the Financial Data Transparency Act (FDTA).

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  • Issue Briefs

Tower Amendment

An essential check on federal overreach into state and local sovereignty.

Photo Of Wind Turbines Under Cloudy Sky. Source: Harry Cunningham
  • Issue Briefs

ESG

Environmental, Social, and Governance Factors
  • Comments

DIG Letter on Section 203 of the Financial Data Transparency Act (FDTA)

Coalition letter from the Disclosure Industry Group (DIG), including NABL, that outlines various concerns pertaining to Section 203 of the Financial Data Transparency Act (FDTA).
  • Comments

Congratulations to Commissioners Lizárraga and Uyeda

Letter congratulating Commissioners Jaime Lizárraga and Mark Uyeda on their recent Senate confirmations to serve on the U.S. Securities and Exchange Commission (SEC).

Committee Leadership

Chair

Brandon C. Pond

Polsinelli
Salt Lake City, UT

Vice Chair

Rebecca S. Lawrence

D.A. Davidson & Co.
Plymouth, MN

Vice Chair

Drew M. Slone

Locke Lord LLP
Dallas, TX

Board Liaison

JoLinda L. Herring

Bryant Miller Olive P.A
Miami, FL

Current Committee Projects
  • Reports and Resources
  • In Progress

Best Practices Paper for Risk Factors Disclosure

A paper to discuss, among other items, various topics of disclosure including revenue and conduit revenue bonds as well as new cyber, climate, and COVID-19 related risks. The paper could…
  • Reports and Resources
  • In Progress

Forward Delivery Bonds FAQ

The Securities Law and Disclosure Committee (SLDC) is working on a frequently asked questions (FAQ) document covering the basic mechanics of a forward delivery; documentation requirements and best practices of…
  • Reports and Resources
  • In Progress

Updates to the Model CDA

The Securities Law and Disclosure Committee (SLDC) is working to update our Model Continuing Disclosure Agreement (CDA).