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
Broker-Dealer Regulation
- Broker-Dealer registration, compliance, regulatory relief
- FINRA new membership application, material consultations, continuing membership application filing, supervisory system design and compliance
Self-Regulatory Organization
- SEC Registration and Compliance
- SRO Rule Filings
- Reg SCI Compliance
Sales and Trading
- Alternative Trading System and Regulation ATS
- Secondary Securities Sales and Trading
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
- Regulation SCI Compliance
- Broker-Dealer Outsourcing and Compliance
Investment Adviser, Venture Capital, Private Funds
Investment Advisers
- Private Fund Adviser Exemption
- Venture Capital Adviser Exemption
- Investment Adviser Registration and Compliance·
Venture Capital & Private Funds
- Venture and Private Fund Exemption
- Venture and Private Fund Compliance
- Pre-IPO Investment Compliance
Emerging Company
- Corporate Formation and Governance
- Platform and Services Licensing
- Outsourcing and Corporate Agreements
FinTech
Data Analytics, Platform Services and Use of AI
- Data Analytics
- Platform Services
- Data Licensing
- Data Distributions
- Use of AI
- Data and Securities Law Compliance