WSBA Business Law

Securities Law Committee

The Securities Committee is a standing committee of the Section comprised of approximately 30 securities lawyers, including two ex-officio members who are representatives of the Washington Securities Division. Attorneys interested in securities law are welcome to become members or attend as guests. Contact the chair (contact info is below) for membership policy and obligations.

The Committee is responsible for monitoring proposed federal and Washington state legislation and rulemaking, providing feedback to regulators, and considering and recommending, as appropriate, new Washington securities legislation. In addition, the Committee sponsors two annual securities CLE programs: (1) the Northwest Securities Institute, a regional CLE for securities practitioners (co-sponsored with the Oregon Bar Association Securities Committee) held annually and alternating in location each year between Seattle and Portland; and (2) the "Meet the Securities Regulators" program held annually in Seattle in the fall.

The Committee’s activities have included reviewing and commenting on the following:

   1. Comments on the Washington Securities Division proposed additions and amendments to the Investment Adviser registration and reporting requirements – WAC 460-24A (May 2013)

   2. Letter to Senator Christopher Dodd and the Senate Banking Committee expressing the Section’s opposition to provisions in the proposed financial reform legislation (adopted as “Dodd Frank”) that would, in the Committee’s view, undermine federal preemption with respect to Rule 506 offerings (March 2010). The Committee’s letter expressed concern that such a change would be a significant impediment to the ability of companies in Washington to raise capital.

   3. Endorsed proposed changes to the Washington Securities Act (2010). These changes were tabled by the WSBA Legislative Committee in 2010 after the Washington Securities Division expressed opposition.

Related Publications:

Article on securities crowdfunding. Originally published in the February 2017 issue of the King County Bar Association Bar Bulletin. Reprinted with permission of the King County Bar Association.

Committee Chair:

Mark R. Beatty
Law Office of Mark R. Beatty
10900 NE 4th St., Ste. 1850
Bellevue, WA 98004-8341
Phone: (425) 990-4026


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Updated: 3/21/17