Von Wooding, Esq.

Conflict Minerals: Reporting requirements, compliance, due diligence

Electronic Trading: Regulations, compliance, market infrastructure

Corporate Social Responsibility (CSR): Reporting, compliance, best practices

Commodity Futures Trading: Regulations, compliance, market practices

Securities Offerings Exemptions: Regulation S, Regulation A, Rule 144A

Self-Regulatory Organizations (SROs): FINRA, NFA, compliance

Accounting Fraud: Misrepresentation, false financial statements, compliance

Securities Act of 1933: Registration requirements, compliance, exemptions

Client Assets Protection: Custody rules, segregation of assets, compliance

Insider Dealing: Regulations, compliance, enforcement

Municipal Securities: Regulations, compliance, disclosure requirements

Fair Disclosure: Regulation FD, compliance, investor communications

Know Your Customer (KYC): Requirements, compliance, due diligence

Market Conduct: Regulations, compliance, best practices

Market Surveillance: Monitoring, compliance, enforcement

Due Diligence: Investigations, compliance, reporting

Legal Entity Identifiers (LEIs): Registration, compliance, reporting

Shareholder Activism: Proxy battles, compliance, corporate responses

Swap Execution Facilities (SEFs): Regulations, compliance, trading

Alternative Trading Systems (ATSs): Regulations, compliance, disclosure

Over-the-Counter (OTC) Markets: Regulations, compliance, trading practices

Equity Compensation: Stock options, restricted stock units, compliance

Public Company Accounting Oversight Board (PCAOB): Regulations, compliance, oversight

Financial Industry Regulatory Authority (FINRA): Regulations, compliance, enforcement