Securities Law:
Annual & quarterly reports (Ks & Qs)
Blank check registration statements
Form 8-Ks
Form 10 registration statements
Form S-1 registration statements
Form 211 (Rule 15c2-11 applications)
PIPES
Proxy statements
Regulation A, D & S offerings
Reverse mergers
Rule 144 legal opinions
Section 16 reports
SPACs
Corporate & Business Law:
Corporate formation
Employment agreements
Mergers & acquisitions
Reorganizations & recapitalizations
Shareholder agreements
Stock option plans (Phantom & SARs)
Compliance:
Blue sky rules and regulations
FINRA Audits & OTRs
FINRA Conduct & Market Rules
Investment Advisor Act of 1940
SEC Audits & Subpoenas
Securities Act of 1933
Securities Exchange Act of 1934
SOX
Broker-Dealer Representation:
Form 211 (Rule 15c2-11 applications)
Formation of Broker-Dealer Firms
IPOs (Underwriters & syndicate)
PIPES
Regulation M
Rule 11Ac1-5 & 11Ac1-6
SOES, ECNs, SelectNet
Investment Adviser Representation:
Form ADV
Formation of Investment Advisor Firms |
Broker-Dealers
Hedge Funds
High Net Worth Individuals
Institutional Investors
Investment Advisors (SEC & State)
Investment Bankers (Consultants)
Market Makers
Mutual Funds
Private Companies
Public Companies |
Governance Bodies:
FINRA (formerly NASD)
SEC
Secretaries of State
State Securities Commissions
Stock Exchanges:
American
Boston
Chicago
New York
Philadelphia
Trading Platforms:
Over The Counter Bulletin Board
Pink OTC Markets
Countries:
Australia
Brazil
Canada
China
England
France
Germany
Greece
Hong Kong
India
Ireland
Israel
Italy
New Zealand
Poland
Russia
South Africa
South Korea
UAE
United States
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