Securities Law

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

Private Equity: Fund formation, portfolio management, compliance

Investment Company Act Compliance: Mutual funds, closed-end funds, unit investment trusts

Material Nonpublic Information: Handling, disclosure, compliance

Takeover Defenses: Poison pills, staggered boards, shareholder rights plans

Risk Management: Hedging, risk assessment, compliance

Financial Reporting: GAAP compliance, non-GAAP measures, restatements

SPACs (Special Purpose Acquisition Companies): Formation, compliance, de-SPAC transactions

ESG (Environmental, Social, and Governance) Disclosures: Reporting requirements, compliance, investor relations

Blockchain and Cryptocurrencies: ICOs, regulatory framework, compliance

Crowdfunding: Equity crowdfunding, regulatory exemptions, compliance

High-Frequency Trading: Algorithms, regulatory concerns, market impact

Proxy Solicitation: Proxy statements, shareholder proposals, voting procedures

Derivative Securities: Options, futures, swaps, regulatory compliance