Lora Alexander has a background in providing interpretative advice and guidance regarding FINRA Rules, state and federal securities laws and the relevant regulations thereunder. She also drafts Written Supervisory Procedures and Compliance Manuals for broker-dealers for compliance with FINRA regulations. Lora has deep experience across a variety of areas including drafting Terms and Conditions and Privacy Policies for websites for securities related services, legal memoranda, including briefs, motions and complaints.
Lora reviews White Papers for Initial Coin Offerings for compliance with federal securities laws and registration requirements. In addition, she has prepared several requests for No Action Letters, Stock Option Agreements, Subscription Agreements, Crowdfunding applications, and Private Placement Memorandum for SEC filings pursuant to exemptions from registration under Crowdfunding, Regulation A or Regulation D.