Browse Related Topics For:

Securities › Business Organization › Professional Malpractice

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Corporate Governance

Investment Adviser

Securities Regulation

Enforcement Actions

Publicly-Traded Companies

Financial Services Industry

Environmental Social & Governance (ESG)

Securities Fraud

Reporting Requirements

Financial Institutions

Securities Violations

EU

UK

CFTC

Securities Litigation

Regulatory Agenda

Department of Justice (DOJ)

Investment Advisers Act of 1940

Greenhouse Gas Emissions

Financial Conduct Authority (FCA)

Capital Markets

Artificial Intelligence

Risk Management

Securities Exchange Act

Board of Directors

Regulatory Requirements

Investment Management

Financial Industry Regulatory Authority (FINRA)

Seventh Amendment

Securities Exchange Act of 1934

White Collar Crimes

Financial Regulatory Reform

Registered Investment Advisors

Initial Public Offering (IPO)

Investment Funds

Administrative Law Judge (ALJ)

Insider Trading

Cyber Incident Reporting

Anti-Money Laundering

Asset Management

European Securities and Markets Authority (ESMA)

Policies and Procedures

Recordkeeping Requirements

Financial Markets

Civil Monetary Penalty

Corporate Social Responsibility

Securities Act of 1933

Beneficial Owner

Department of Labor (DOL)

Administrative Proceedings

Misleading Statements

Whistleblower Awards

Consumer Financial Protection Bureau (CFPB)

Corporate Transparency Act

Special Purpose Acquisition Companies (SPACs)

Corporate Counsel

Macquarie Infrastructure Corp v Moab Partners LP

Employee Retirement Income Security Act (ERISA)

Foreign Corrupt Practices Act (FCPA)

Administrative Authority

Chevron Deference

Constitutional Challenges

Administrative Procedure Act

Loper Bright Enterprises v Raimondo

Venture Capital

Corporate Misconduct

FDIC

Regulatory Oversight

Federal Trade Commission (FTC)

Criminal Prosecution

Risk Assessment

Crypto Exchanges

Incident Response Plans

Voluntary Disclosure

Failure To Disclose

Government Agencies

Prohibited Transactions

Delaware General Corporation Law

Federal Reserve

Prudential Regulation Authority (PRA)

Retirement Plan

Shareholder Litigation

Consumer Financial Products

European Commission

False Statements

IRS

Bank Secrecy Act

Misrepresentation

Putative Class Actions

Regulatory Authority

Capital Raising

Chief Information Security Officer (CISO)

Data Protection

Decentralized Finance (DeFi)

Financial Crimes

Money Laundering

Regulatory Standards

Statutory Interpretation

Conflicts of Interest

Whistleblower Protection Policies

ETFs

Filing Deadlines

Internal Controls

Electronic Communications

European Banking Authority (EBA)

Insurance Industry

Material Nonpublic Information

Regulatory Reform

Anti-Corruption

Bank of England

Corporate Crimes

Investment Firms

Judicial Authority

Canadian Securities Administration

Exempt Reporting Advisers (ERAs)

Filing Requirements

Financial Statements

Internal Revenue Code (IRC)

Investment Companies

Machine Learning

Material Misstatements

NYSE

Risk Mitigation

Controlling Stockholders

Customer Identification Program (CIP)

Emerging Growth Companies

Investment Company Act of 1940

Motion to Dismiss

Statutory Authority

Alternative Investment Fund Managers Directive (AIFMD)

FHFA

Individual Retirement Account (IRA)

OCC

Commodity Exchange Act (CEA)

Misappropriation

Non-Fungible Tokens (NFTs)

Registration Requirement

Securities Transactions

State Attorneys General

Consumer Lenders

Executive Compensation

Hong Kong Stock Exchange

Notice of Proposed Rulemaking (NOPR)

Private Equity Funds

Proposed Legislation

Retail Investors

Rulemaking Process

Sustainable Finance

European Supervisory Authorities (ESAs)

Office of Foreign Assets Control (OFAC)

Political Contributions

SFDR

Technology Sector

Confidential Information

Early Stage Companies

Foreign Investment

Futures Commission Merchants (FCMs)

Merger Agreements

New Legislation

NPRM

Self-Disclosure Requirements

Suspicious Activity Reports (SARs)

Task Force on Climate-related Financial Disclosures (TCFD)

Corporate Issuers

Corporate Officers

DE Supreme Court

Digital Currency

Distributed Ledger Technology (DLT)

Employee Benefits

False Claims Act (FCA)

Limited Partnerships

Presidential Elections

Proposed Amendments

Proxy Statements

Stockholder Agreements

Sustainable Business Practices

Trading Platforms

Commercial Bankruptcy

Financial Reporting

Foreign Private Issuers

National Security

Shareholder Proposals

Unregistered Securities

Chief Compliance Officers

Climate Action Plan

Criminal Convictions

Economic Sanctions

Environmental Policies

Environmental Protection Agency (EPA)

Federal Pilot Programs

Institutional Investors

Listing Standards

NAV

Ontario Securities Commission (OSC)

Proposed Regulation

PTEs

Registration Statement

Smaller Reporting Companies

Virtual Currency

AIFM

Biden Administration

Books & Records

Capital Formation

Commercial Litigation

Derivative Suit

Diversity and Inclusion Standards (D&I)

HKEx

Judicial Review

NLRB

SEC Examination Priorities

Business Entities

Business Strategies

Covered Entities

Enforcement Authority

Fees

Investment Contract

Investment Opportunities

Legislative Agendas

MSRB

NCUA

Non-Public Information

Notice Requirements

Reverse Stock Splits

401k

Amended Regulation

CEOs

Compliance Dates

Compliance Monitoring

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

Digital Wallets

Financial Adviser

Information Technology

Market Manipulation

Market Participants

NAIC

Pharmaceutical Industry

Regulatory Violations

Securities Tokens

Shareholder Activism

Unconstitutional Condition

Brokered Deposits

Business Judgment Rule

Capital Requirements

Corporate Financing

Corporations Code

Customer Due Diligence (CDD)

Customer Information

Data Collection

Enforcement Priorities

Fair Market Value

Financial Services Committee

Financial Transactions

First Amendment

Food and Drug Administration (FDA)

IFRS

Incentive Compensation

Intellectual Property Protection

Investment Portfolios

New Regulations

NIST

Objective Falsity

Online Platforms

Private Investment Funds

Proxy Advisory Firms

Real Estate Investments

Regulation Technical Standards (RTS)

Renewable Energy

SBA

Sensitive Personal Information

Shell Corporations

Stock Repurchases

Anti-Fraud Provisions

Cease and Desist Orders

Financial Services and Markets Act

Governance Standards

Investor Protection

Limited Liability Company (LLC)

Notification Requirements

Political Campaigns

Private Equity Firms

Privately Held Corporations

Proxy Voting Guidelines

Public Rights Doctrine

Registered Investment Companies (RICs)

REIT

Shareholders' Agreements

Statutory Violations

Administrative Stay

Benefit Plan Sponsors

Breach Notification Rule

Business Ownership

Central Bank Digital Currency (CBDCs)

Closed-End Funds

Commodities Traders

Consumer Protection Laws

Corporate Culture

Credit Facilities

Decentralized Autonomous Organization (DAO)

Department of Financial Protection and Innovation (DFPI)

Dispute Resolution

Entire Fairness Standard

FBI

Federal Contractors

Financial Instruments

Guidance Update

Healthcare Fraud

Hong Kong Securities and Futures Commission (HKSFC)

Institutional Shareholder Services (ISS)

Know Your Customers

MNPI

Non-Compete Agreements

Non-Disclosure Agreement

OSHA

Payment Systems

Personal Information

Personally Identifiable Information

Pleading Standards

Portfolio Companies

Portfolio Managers

Public Offerings

Regulation Best Interest

Shareholder Meetings

Threshold Requirements

Accredited Investors

Antitrust Provisions

ASIC

Asset-Backed Securities

Bankruptcy Court

Bureau of Industry and Security (BIS)

Business Disputes

Business Litigation

Capital Investments

Capital Requirements Regulation (CRR)

Carbon Off-Set Credits

CIMA

Commerce Clause

Continuing Legal Education

Corporate Sales Transactions

Criminal Conspiracy

Criminal Investigations

Debt Collection

Employer Liability Issues

Exchange-Traded Products

FEPA

Freeze-Out Mergers

GAAP

Government Investigations

Gramm-Leach-Blilely Act

Inflation Reduction Act (IRA)

Information Governance

Innovative Technology

Licensing Rules

No-Action Letters

Non-Prosecution Agreements

Nvidia Corp v E Ohman J or Fonder AB

OECD

Pending Litigation

Permanent Injunctions

Public Statements

Relentless Inc v US Department of Commerce

Securities Settlement Cycles

Securitization Standards

Separation of Powers

Serious Fraud Office (SFO)

Shareholder Rights

Smart Contracts

Statute of Limitations

Stock Purchase Agreement

Unfair or Deceptive Trade Practices

Wealth Management

Accounting Standards

Acquisition Agreements

Administrative Agencies

AIFs

Alternative Investment Funds

Anti-Dilution Terms

Anti-Retaliation Provisions

Arbitration Agreements

Banking Regulators

Bankruptcy Code

Basel Committee on Banking Supervision (BCBS)

Business Development

BVI Business Companies

CARB

Carbon Emissions

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Corporate Management

Corporate Securities Act

Corporate Taxes

Criminal Penalties

Cybersecurity Information Sharing Act (CISA)

Data Management

Debt

Department of Energy (DOE)

Department of Health and Human Services (HHS)

Electronic Filing

Employee Training

Entertainment Industry

Equity Securities

European Parliament

Executive Orders

Export Controls

FATF

Fifth Amendment

Financial Regulatory Agencies

Foreign Corporations

Foreign Direct Investment

Foreign Entities

Foreign Exchanges

Fourth Amendment

FTSE

General Corporation Law

General Data Protection Regulation (GDPR)

Government Officials

Incentive Stock Options

Indemnification

Information Reports

Instant Messaging Apps

Loan Origination Funds

MD&A Statements

Monetary Authority of Singapore

Over The Counter Derivatives (OTC)

Pending Legislation

Perfected Security Interest

Policy Statement

QPAM

Real Estate Market

Resource Extraction

Secondary Markets

Securitization Market

State and Local Government

Statutory Trusts

Telecommunications

Trading Policies

Transfer Agents

Unregistered Brokers

XBRL Filing Requirements

Activist Investors

Advanced Notice of Proposed Rulemaking (ANPRM)

Adverse Employment Action

Angel Investors

Australian Securities Exchange (ASX)

Basket Transactions

British Virgin Islands

Burden of Proof

Business Formation

Buy Now Pay Later (BNPL)

California Privacy Protection Agency (CPPA)

Campaign Contributions

CBCA

CDIs

CFOs

Coinbase Inc v Suski et al

Collateralized Loan Obligations

Compensation & Benefits

Congressional Committees

Consumer Financial Protection Act (CFPA)

Corporate Executives

Corporate Structures

Cross-Border Transactions

Cyber Insurance

Data Preservation

Debt Instruments

Debt Securities

Deferred Prosecution Agreements

Derivatives Clearing Organizations

Designated Contract Markets (DCMs)

Digital Platforms

EFTs

EMIR

Equal Employment Opportunity Commission (EEOC)

Equity Financing

European Economic Area (EEA)

Fair Labor Standards Act (FLSA)

False Advertising

Federal Funding

Federal Register

Federal Rules of Civil Procedure

Financial Promotions

Financial Reporting Council (FRC)

Financial Stability Board

Foreign Governments

Foreign Issuers

FSMA

Governor Newsom

Hiring & Firing

Holding Companies

Illiquid Assets

Insider Information

Institutional Limited Partners Association (ILPA)

Insured Depository Institutions

Intent to Defraud

Internal Investigations

Internal Reporting

Investment Trust Companies

London Stock Exchange

Magnuson-Stevens Act (MSA)

Major Swap Participants

Material Misrepresentation

Money Transmitter

Mortgage-Backed Securities

Multidistrict Litigation

Municipal Securities Market

Murray v UBS Securities LLC

National Marine Fisheries Service

Non-Bank Lenders

NSBA

Ohio v Environmental Protection Agency

Ownership Interest

Passive Investments

Personal Liability

Petition for Writ of Certiorari

PFAS

Political Candidates

Price Inflation

Private Placements

Prudential Standards

Public Interest

Quarterly Report

Registration Fees

Required Documentation

Research Funding

Right to a Jury

Safeguards Rule

Securities Exchanges

Security and Privacy Controls

Settlement Agreements

Small and Medium-Sized Enterprises (SMEs)

Special Purpose Vehicles

Split of Authority

Stakeholder Engagement

Stock Redemption

Strategic Planning

Summary Judgment

Swap Execution Facilities

Terrorism Funding

Terrorist Financing Regulations

Third-Party Service Provider

Total Shareholder Return (TSR)

Trade Associations

Unfair Competition

Unjust Enrichment

Venture Funding

Accelerated Filers

Administrative Appeals

Affirmative Defenses

Aiding and Abetting

Amended Legislation

American Airlines

American Bar Association (ABA)

Antitrust Division

Appellate Courts

Attorney General

Audit Committee

Aviation Industry

Bank Recovery and Resolution Directive (BRRD)

Bankruptcy Trustees

Bars

Best Interest Standard

Bots

British Columbia Securities Commission

Business Divorce

Business Expenses

Business Valuations

Campaign Finance Reform

Capital Gains Tax

Capital Markets Union

Capital Structures

Carve Out Provisions

Case Consolidation

Cease and Desist

Central Bank of Ireland

Class Certification

Closely Held Businesses

Code of Conduct

Commercial Contracts

Commercial Insurance Policies

Commercial Real Estate Market

Competition Act

Complex Corporate Transactions

Confidentiality Agreements

Consultation Papers

Consumer Protection Act

Contests & Promotions

Contract Disputes

Convertible Notes

Coronavirus/COVID-19

Corporate Charters

Corporate Entities

Corporate Finance

Corporate Liability

Covered Transactions

Critical Infrastructure Sectors

Customer Privacy

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

Debt Collectors

Declaratory Judgments

Declaratory Relief

Demand Futility

Department of Defense (DOD)

Department of Homeland Security (DHS)

Depository Institutions

Digital Securities

Digital Services

Document Management

Domestic Corporations

Electric Vehicles

Employee Misconduct

Employment Discrimination