Securities Law Compliance

Represented several public companies listed on Nasdaq National and Small Cap Market, AMEX, NASDAQ Small Cap Market or admitted to OTC trading on the Nasdaq Bulletin Board with respect to registration, stock listing, periodic reporting requirements, qualified stock option plans and general regulatory matters. Represented the Berlin Stock Exchange before the United States Securities and Exchange Commission in connection with its designation as a designated offshore securities market under Regulation S. Developed SEC compliance programs for funds managed by foreign banks and asset managers. Advised several foreign banks on sale of non-U.S. securities to U.S. investors. Represented NASDAQ listed company with respect to SEC reporting obligations during bankruptcy proceedings. Developed SEC policy guidance programs for boards of directors and audit committees of several public companies. Advised foreign and domestic investors in connection with reporting and compliance obligations under U.S. securities laws. Advised foreign and domestic investors in connection with the sale of restricted securities. Advised U.S. and foreign broker/dealers and investment advisors with respect to regulatory compliance matters and registration under U.S. securities laws.