Browse Related Topics For:

Securities › Administrative Agency › Consumer Protection

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Investment Adviser

Enforcement Actions

Financial Services Industry

Publicly-Traded Companies

Environmental Social & Governance (ESG)

Securities Fraud

Reporting Requirements

Securities Violations

Securities Litigation

Financial Institutions

CFTC

Regulatory Agenda

EU

UK

Securities Exchange Act

Department of Justice (DOJ)

Investment Advisers Act of 1940

Greenhouse Gas Emissions

Risk Management

Artificial Intelligence

Regulatory Requirements

Board of Directors

Capital Markets

Financial Conduct Authority (FCA)

Securities Exchange Act of 1934

Investment Management

Financial Industry Regulatory Authority (FINRA)

Initial Public Offering (IPO)

Beneficial Owner

Investment Funds

Registered Investment Advisors

Seventh Amendment

Insider Trading

Special Purpose Acquisition Companies (SPACs)

Anti-Money Laundering

Corporate Transparency Act

Financial Regulatory Reform

Recordkeeping Requirements

Securities Act of 1933

White Collar Crimes

Financial Markets

Cyber Incident Reporting

Administrative Law Judge (ALJ)

Policies and Procedures

Corporate Social Responsibility

European Securities and Markets Authority (ESMA)

Civil Monetary Penalty

Macquarie Infrastructure Corp v Moab Partners LP

Administrative Proceedings

Asset Management

Foreign Corrupt Practices Act (FCPA)

Corporate Counsel

Crypto Exchanges

Regulatory Oversight

Consumer Financial Protection Bureau (CFPB)

Misleading Statements

Whistleblower Protection Policies

Bank Secrecy Act

Risk Assessment

Administrative Authority

Constitutional Challenges

Investment Company Act of 1940

Misrepresentation

Venture Capital

Criminal Prosecution

Federal Trade Commission (FTC)

Financial Crimes

Incident Response Plans

Department of Labor (DOL)

Putative Class Actions

Administrative Procedure Act

Failure To Disclose

Federal Reserve

Money Laundering

Prudential Regulation Authority (PRA)

Regulatory Reform

Anti-Corruption

Chevron Deference

Conflicts of Interest

Decentralized Finance (DeFi)

Capital Raising

Consumer Financial Products

Data Protection

European Commission

Loper Bright Enterprises v Raimondo

Regulatory Standards

Securities Transactions

Whistleblower Awards

Controlling Stockholders

Filing Deadlines

IRS

Material Misstatements

Regulatory Authority

Delaware General Corporation Law

Emerging Growth Companies

Employee Retirement Income Security Act (ERISA)

False Statements

Government Agencies

Registration Requirement

Corporate Misconduct

Exempt Reporting Advisers (ERAs)

FDIC

Financial Statements

Machine Learning

Material Nonpublic Information

Shareholder Litigation

Bank of England

ETFs

Suspicious Activity Reports (SARs)

Customer Identification Program (CIP)

Electronic Communications

European Banking Authority (EBA)

Executive Compensation

Investment Companies

Non-Fungible Tokens (NFTs)

Prohibited Transactions

Voluntary Disclosure

Canadian Securities Administration

Commodity Exchange Act (CEA)

NPRM

NYSE

OCC

Retirement Plan

Filing Requirements

Internal Controls

Investment Firms

Misappropriation

Office of Foreign Assets Control (OFAC)

Rulemaking Process

Statutory Interpretation

Adverse Employment Action

Confidential Information

FHFA

Financial Reporting

Alternative Investment Fund Managers Directive (AIFMD)

Murray v UBS Securities LLC

Risk Mitigation

State Attorneys General

Chief Information Security Officer (CISO)

Futures Commission Merchants (FCMs)

Judicial Authority

National Security

Smaller Reporting Companies

Trading Platforms

Corporate Issuers

DE Supreme Court

Digital Currency

Hong Kong Stock Exchange

Insurance Industry

Internal Revenue Code (IRC)

Market Participants

Motion to Dismiss

Notice of Proposed Rulemaking (NOPR)

Proxy Statements

Sustainable Business Practices

Task Force on Climate-related Financial Disclosures (TCFD)

Technology Sector

Unregistered Securities

Amended Regulation

Corporate Officers

Investment Opportunities

Ontario Securities Commission (OSC)

Proposed Legislation

Retail Investors

Shareholder Proposals

Shell Corporations

Statutory Authority

Anti-Retaliation Provisions

Climate Action Plan

Customer Due Diligence (CDD)

Diversity and Inclusion Standards (D&I)

Employer Liability Issues

False Claims Act (FCA)

Institutional Investors

Merger Agreements

New Legislation

Private Equity Funds

Proposed Amendments

Proposed Regulation

Registration Statement

Virtual Currency

Commercial Bankruptcy

Commercial Litigation

Consumer Lenders

Criminal Convictions

Distributed Ledger Technology (DLT)

Economic Sanctions

Environmental Policies

AIFM

Biden Administration

Corporate Crimes

Early Stage Companies

European Supervisory Authorities (ESAs)

Exchange-Traded Products

Foreign Investment

Foreign Private Issuers

Investment Contract

NLRB

Self-Disclosure Requirements

Sustainable Finance

UBS

Books & Records

Business Judgment Rule

Capital Formation

Enforcement Authority

Environmental Protection Agency (EPA)

First Amendment

HKEx

Individual Retirement Account (IRA)

Information Technology

Judicial Review

Limited Partnerships

NCUA

New Regulations

Non-Public Information

Pharmaceutical Industry

Proxy Advisory Firms

Regulatory Violations

SBA

SEC Examination Priorities

SFDR

Stock Repurchases

Stockholder Agreements

Business Strategies

Chief Compliance Officers

Closed-End Funds

Covered Entities

Employee Benefits

Financial Services Committee

Listing Standards

Market Manipulation

NIST

Personal Information

Private Investment Funds

Real Estate Investments

Securities Traders

Accredited Investors

Business Entities

Commodity Trading Advisors (CTAs)

Compliance Dates

Customer Information

Decentralized Autonomous Organization (DAO)

Department of Financial Protection and Innovation (DFPI)

Enforcement Priorities

Entire Fairness Standard

Food and Drug Administration (FDA)

IFRS

Intellectual Property Protection

Investor Protection

Legislative Agendas

Limited Liability Company (LLC)

Objective Falsity

REIT

Renewable Energy

Securities Dealers

Sensitive Personal Information

Stock Purchase Agreement

Unconstitutional Condition

401k

Business Litigation

CEOs

Commodities Traders

Corner Post Inc v Board of Governors of the Federal Reserve System

Corporate Sales Transactions

Corporations Code

Criminal Investigations

Derivative Suit

Digital Wallets

Export Controls

Financial Adviser

Financial Instruments

Financial Services and Markets Act

Governance Standards

Innovative Technology

MNPI

Notice Requirements

Notification Requirements

Portfolio Companies

Portfolio Managers

Privately Held Corporations

Protected Activity

Proxy Voting Guidelines

Reverse Stock Splits

Securities Tokens

Securitization Standards

Shareholder Activism

Administrative Stay

Anti-Fraud Provisions

Antitrust Provisions

Arbitration Agreements

Bankruptcy Court

Benefit Plan Sponsors

Breach Notification Rule

Business Ownership

Carbon Emissions

Cease and Desist Orders

Central Bank Digital Currency (CBDCs)

Compliance Monitoring

Consumer Protection Laws

Coronavirus/COVID-19

Corporate Taxes

Data Collection

Dispute Resolution

Executive Orders

FBI

Federal Contractors

Fees

Financial Transactions

Foreign Direct Investment

GAAP

Hiring & Firing

Incentive Compensation

Information Governance

Information Reports

Know Your Customers

NAIC

NAV

Non-Disclosure Agreement

OECD

Pleading Standards

Political Contributions

Private Equity Firms

PTEs

Registered Investment Companies (RICs)

Regulation Technical Standards (RTS)

Shareholder Rights

Shareholders' Agreements

Statute of Limitations

Statutory Violations

Threshold Requirements

Activist Investors

ASIC

Asset-Backed Securities

Bureau of Industry and Security (BIS)

Commerce Clause

Compensation & Benefits

Confidentiality Agreements

Corporate Financing

Criminal Conspiracy

Criminal Penalties

Derivatives Clearing Organizations

FATF

FEPA

Foreign Corporations

Freeze-Out Mergers

General Data Protection Regulation (GDPR)

Government Investigations

Gramm-Leach-Blilely Act

Indemnification

Institutional Shareholder Services (ISS)

MD&A Statements

No-Action Letters

Non-Prosecution Agreements

Nvidia Corp v E Ohman J or Fonder AB

Online Platforms

OSHA

Ownership Interest

Private Placements

Public Offerings

Public Rights Doctrine

Required Documentation

Securities Settlement Cycles

Separation of Powers

Shareholder Meetings

Smart Contracts

Syndicated Loans

Terrorism Funding

XBRL Filing Requirements

Acquisition Agreements

Alternative Investment Funds

Banking Regulators

Bankruptcy Code

British Columbia Securities Commission

Business Disputes

Capital Investments

Chamber of Commerce

CIMA

Consumer Financial Protection Act (CFPA)

Continuing Legal Education

Corporate Culture

Corporate Executives

Corporate Management

CPOs

Credit Facilities

Data Management

Data Preservation

Debt

Debt Collection

Department of Defense (DOD)

Department of Energy (DOE)

Entertainment Industry

Equity Compensation

Equity Financing

European Parliament

Exculpatory Clauses

Fair Market Value

False Advertising

Federal Funding

Federal Pilot Programs

Federal Register

Fifth Amendment

Foreign Entities

Foreign Exchanges

Fourth Amendment

Fraudulent Transfers

General Corporation Law

Government Securities

Guidance Update

Hong Kong Securities and Futures Commission (HKSFC)

Instant Messaging Apps

Investment Portfolios

Licensing Rules

Major Swap Participants

Mortgage-Backed Securities

Multidistrict Litigation

Non-Compete Agreements

Non-GAAP Financial Measures

Passive Investments

Perfected Security Interest

Personally Identifiable Information

Presidential Elections

Real Estate Market

Right to a Jury

Safeguards Rule

Secondary Markets

Securities Exchanges

Securitization Market

Security-Based Swaps

Serious Fraud Office (SFO)

Settlement Agreements

Shareholder Votes

SRO

Statutory Trusts

Strategic Planning

Swap Execution Facilities

Telecommunications

Third-Party Service Provider

Total Shareholder Return (TSR)

Trading Policies

Unfair or Deceptive Trade Practices

Unjust Enrichment

Unregistered Brokers

Wealth Management

Accounting Standards

Advanced Notice of Proposed Rulemaking (ANPRM)

Anti-Dilution Terms

Anti-Terrorism Financing

Burden of Proof

Business Development

California Consumer Privacy Act (CCPA)

Capital Requirements

Capital Requirements Regulation (CRR)

Carbon Off-Set Credits

CDIs

CFOs

Class Certification

Coinbase Inc v Suski et al

Collateralized Loan Obligations

Congressional Committees

Corporate Securities Act

Corporate Structures

Cybersecurity Information Sharing Act (CISA)

Debt Securities

Declaratory Judgments

Deferred Prosecution Agreements

Department of Health and Human Services (HHS)

Designated Contract Markets (DCMs)

Digital Platforms

Disciplinary Proceedings

Document Management

EFTs

Electric Vehicles

Electronic Filing

Employee Training

Energy Information Association (EIA)

Equal Employment Opportunity Commission (EEOC)

Equity Securities

European Economic Area (EEA)

Fair Credit Reporting Act (FCRA)

Fair Labor Standards Act (FLSA)

Federal Acquisition Regulations (FAR)

Federal Rules of Civil Procedure

Financial Promotions

Financial Stability Board

Foreign Issuers

FSMA

Incentive Stock Options

Inflation Reduction Act (IRA)

Insider Information

Intent to Defraud

Internal Rate of Return (IRR)

Investment Trust Companies

ISDA

Labor Relations

Loan Origination Funds

Long-Term Investment Funds

Magnuson-Stevens Act (MSA)

Majority Shareholders

Material Misrepresentation

Monetary Authority of Singapore

Money Transmitter

MSRB

Municipal Securities Market

National Marine Fisheries Service

NDAA

Non-Bank Lenders

NSBA

Ohio v Environmental Protection Agency

Payment Systems

Pending Legislation

Petition for Writ of Certiorari

PFAS

Policy Statement

Price Inflation

Primary Residence

Private Investment in Public Equity (PIPEs)

Private Right of Action

Promissory Notes

Public Interest

Public Meetings

QPAM

Quarterly Report

Regular Business Communications

Regulation Best Interest

Relentless Inc v US Department of Commerce

Restricted Stocks

Securities Contracts

Security and Privacy Controls

Small and Medium-Sized Enterprises (SMEs)

Special Purpose Vehicles

Split of Authority

State and Local Government

Structured Finance

Structured Financial Products

Subscription Services

Summary Judgment

Terms and Conditions

Third-Party Risk

Trade Associations

TRO

Unfair Competition

Voting Requirements

Administrative Agencies

Affirmative Defenses

Aiding and Abetting

AIFs

Alberta Securities Commission

Amended Legislation

American Airlines

Angel Investors

Anti-Kickback Statute

Appellate Courts

Appropriations Bill

Attorney General

Audit Committee

Aviation Industry

Bank Recovery and Resolution Directive (BRRD)

Basel Committee on Banking Supervision (BCBS)

Basket Transactions

Bots

British Columbia Securities Commission (BCSC)

British Virgin Islands

Business Divorce

Business Expenses

Business Valuations

Buy Now Pay Later (BNPL)

California Privacy Protection Agency (CPPA)

California Privacy Rights Act (CPRA)

Campaign Contributions

CARB

Carve Out Provisions

Case Consolidation

Cause of Action Accrual

Cease and Desist

Code of Conduct

Commercial Insurance Policies

Commercial Real Estate Market

Common Reporting Standard (CRS)

Congressional Review Act

Consultation Papers

Contests & Promotions

Contract Disputes

Convertible Notes

Corporate Charters

Corporate Entities

Corporate Finance

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Covered Transactions

Criminal Liability

Critical Infrastructure Sectors

Cross-Border Transactions

Customer Privacy

Cyber Incident Reporting for Critical Infrastructure Act of 2022 (CIRCIA)

Cyber Insurance

Cybersecurity Framework

Debt Collectors

Debt Instruments

Demand Futility

Department of Homeland Security (DHS)

Digital Securities

Digital Services

Domestic Corporations

Dormant Commerce Clause

Employee Misconduct

Employment Contract

Employment Discrimination

Energy Projects

Enforcement Statistics

Environmental Violations

Estate Planning

EU Market Abuse Regulation (EU MAR)