Von Wooding, Esq.

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

Private Investment in Public Equity (PIPE): Transactions, compliance, reporting

Anti-Money Laundering: Regulations, compliance, reporting requirements

SEC Rule 144: Restricted securities, control securities, resale provisions

Financial Advisors: Regulation Best Interest (Reg BI), compliance, fiduciary duties

Auditor Independence: Regulations, compliance, conflict of interest

Market Access: Direct market access, sponsored access, compliance

Exchange Rules: NYSE, NASDAQ, compliance

Securities Lending: Regulations, compliance, market practices

Employee Stock Ownership Plans (ESOPs): Formation, compliance, fiduciary duties

Insider Reporting: Form 3, Form 4, Form 5 filings

Public Company Reporting: 10-K filings, 10-Q filings, 8-K filings

Venture Capital: Investment terms, compliance, exit strategies