Securities Law

Cross-Border Securities Transactions: Foreign issuers, global offerings, regulatory compliance

Whistleblower Claims: SEC whistleblower program, protections, rewards

Securitization: Asset-backed securities, mortgage-backed securities, structured finance

Penny Stock Regulations: Disclosure requirements, trading restrictions, fraud prevention

Securities Arbitration: FINRA arbitration, mediation, dispute resolution

Corporate Restructuring: Debt restructuring, equity restructuring, distressed assets

Short Selling: Regulations, disclosure requirements, "uptick" rule

Insider Lending: Loans to executives, disclosure requirements, Sarbanes-Oxley Act provisions

Dodd-Frank Act Compliance: Volcker Rule, derivatives regulation, whistleblower protections

Sarbanes-Oxley Act Compliance: Internal controls, audit committee requirements, certification of financial reports

Foreign Corrupt Practices Act (FCPA): Anti-bribery provisions, accounting provisions, compliance

Blue Sky Laws: State securities regulations, exemptions, compliance

Exchange-Traded Funds (ETFs): Registration, compliance, market creation

Mutual Funds: Registration, compliance, shareholder disclosures

Hedge Funds: Formation, registration exemptions, compliance

Securities Class Actions: Shareholder lawsuits, derivative actions, settlements

Mergers and Acquisitions: Due diligence, tender offers, proxy fights

Corporate Governance: Shareholder rights, board of directors duties, executive compensation

Compliance and Enforcement: SEC investigations, FINRA enforcement, state securities regulators

Disclosure Requirements: Periodic reporting, material event disclosures, proxy statements

Private Securities Transactions: Regulation D offerings, crowdfunding, Regulation A+ offerings

Public Offerings: Initial Public Offerings (IPOs), secondary offerings, private placements

Investment Advisor Regulation: SEC registration, state registration, fiduciary duty

Broker-Dealer Regulation: Registration, compliance, fiduciary duties