Securities Law and SEC Regulations
Clearance & Settlement
- Clearing agency registration and compliance
- Treasury, fixed income, equity, options and derivatives clearing
- Clearing membership, access models and margin requirements
- CCP risk management and governance
- SRO rule filings
Sales and Trading
- Alternative Trading System and Regulation ATS
- Secondary Securities Sales and Trading
Broker-Dealer Regulation
- Broker-Dealer registration, compliance, regulatory relief
- FINRA new membership application, material consultations, continuing membership application filing, supervisory system design and compliance
Private Securities Offerings
- Emerging and Growth Company Capital Formation
- Venture Capital Investments
- Exempt Private Offerings
Regulatory Compliance
Compliance and Examination
- Compliance Manual and Written Supervisory Procedures
- Supervisory Structure, Supervisory System and Compliance Program Assessment
- Preparation for SEC and FINRA inspection and examination
Technology Outsourcing and Compliance
- Broker-Dealer Outsourcing and Compliance
- Regulation SCI Compliance
Investment Adviser, Venture Capital, Private Funds
Investment Advisers
- Private Fund Adviser Exemption
- Venture Capital Adviser Exemption
- Investment Adviser Registration and Investment Advisers Act Compliance·
Venture Capital & Private Funds
- Private Fund Formation and Investment Company Act Exclusions
- Co-Investment
- VC Investments
- Private Fund Offerings
Emerging Growth Company
- Corporate Formation and Governance
- Corporate Finance and VC Investments
- Regulation D and Regulation A Offerings
- Technology Contracts
- Outsourcing and Corporate Agreements
FinTech
Blockchain & Digital Assets
- Tokenization of Assets and Securities Law Compliance
- Tokenization Platform for Primary Issuances
- Secondary Trading Platform
- Custody, Clearance and Settlement of Digital Assets
Data Analytics
- Data Analytics and Advisers Act Compliance
- Data Licensing
- Data Distributions
- Data and Securities Law Compliance