Browse Related Topics For:

Securities › General Business › Civil Procedure

See Latest Updates »

Securities and Exchange Commission (SEC)

Corporate Governance

Disclosure Requirements

Financial Services Industry

Enforcement Actions

UK

Publicly-Traded Companies

Investment Adviser

EU

Securities Regulation

Regulatory Agenda

Reporting Requirements

Financial Institutions

Environmental Social & Governance (ESG)

Financial Conduct Authority (FCA)

Regulatory Requirements

Capital Markets

Board of Directors

CFTC

Artificial Intelligence

Financial Regulatory Reform

Department of Justice (DOJ)

Financial Markets

Securities Violations

Risk Management

Securities Exchange Act

Investment Funds

European Securities and Markets Authority (ESMA)

Financial Industry Regulatory Authority (FINRA)

Securities Litigation

Anti-Money Laundering

Investment Management

Asset Management

Securities Fraud

Beneficial Owner

Prudential Regulation Authority (PRA)

Securities Exchange Act of 1934

Investment Advisers Act of 1940

Civil Monetary Penalty

Initial Public Offering (IPO)

Registered Investment Advisors

White Collar Crimes

Whistleblower Protection Policies

Policies and Procedures

Whistleblower Awards

Federal Trade Commission (FTC)

Corporate Counsel

Corporate Misconduct

Misleading Statements

Bank of England

Filing Requirements

Consumer Financial Protection Bureau (CFPB)

Insider Trading

Securities Act of 1933

Sustainable Finance

Department of Labor (DOL)

Trump Administration

Venture Capital

European Commission

Employee Retirement Income Security Act (ERISA)

SEC Examination Priorities

European Banking Authority (EBA)

Diversity and Inclusion Standards (D&I)

Filing Deadlines

Foreign Corrupt Practices Act (FCPA)

Greenhouse Gas Emissions

Recordkeeping Requirements

Executive Compensation

FDIC

Federal Reserve

Corporate Transparency Act

Special Purpose Acquisition Companies (SPACs)

Bank Secrecy Act

IRS

Crypto Exchanges

Chevron Deference

Delaware General Corporation Law

Internal Controls

Regulatory Reform

Retirement Plan

NYSE

Technology Sector

Commodity Exchange Act (CEA)

Investment Companies

Administrative Procedure Act

Canadian Securities Administration

Institutional Shareholder Services (ISS)

Risk Assessment

Voluntary Disclosure

Financial Crimes

Loper Bright Enterprises v Raimondo

Employee Benefits

False Statements

Non-Fungible Tokens (NFTs)

Regulatory Oversight

Corporate Social Responsibility

Foreign Investment

Putative Class Actions

Capital Requirements Regulation (CRR)

Decentralized Finance (DeFi)

Money Laundering

Regulatory Authority

Shareholder Proposals

Suspicious Activity Reports (SARs)

Capital Raising

Corporate Officers

Cyber Incident Reporting

Investment Firms

Legislative Agendas

New Legislation

Shareholder Litigation

Alternative Investment Fund Managers Directive (AIFMD)

Chief Information Security Officer (CISO)

Consumer Financial Products

Corporate Crimes

Digital Currency

Rulemaking Process

Seventh Amendment

Virtual Currency

False Claims Act (FCA)

Insurance Industry

Motion to Dismiss

Presidential Elections

Machine Learning

Proxy Statements

Enforcement Priorities

ETFs

Internal Revenue Code (IRC)

Retail Investors

Anti-Corruption

Criminal Prosecution

Investment Portfolios

Business Entities

Constitutional Challenges

Data Protection

Financial Reporting

Listing Standards

OCC

Proposed Amendments

Sustainable Business Practices

Antitrust Provisions

Federal Pilot Programs

Hart-Scott-Rodino Act

National Security

New Regulations

Trading Platforms

CEOs

FHFA

Government Agencies

Investment Company Act of 1940

Payment Systems

Prohibited Transactions

Compensation & Benefits

Exempt Reporting Advisers (ERAs)

Limited Partnerships

Proposed Regulation

SFDR

Statutory Authority

Administrative Law Judge (ALJ)

Carbon Emissions

Cease and Desist Orders

Distributed Ledger Technology (DLT)

Electronic Communications

EMIR

European Supervisory Authorities (ESAs)

Failure To Disclose

Individual Retirement Account (IRA)

MNPI

Political Contributions

Private Equity Funds

Shareholder Activism

Threshold Requirements

Administrative Proceedings

AIFM

CIMA

Derivative Suit

Economic Sanctions

Environmental Policies

Incident Response Plans

Reverse Stock Splits

Unregistered Securities

Administrative Authority

Biden Administration

Conflicts of Interest

Employment Contract

FSMA

Hong Kong Stock Exchange

Information Reports

Misrepresentation

Regulation Best Interest

AIFs

Business Ownership

Chief Compliance Officers

Commercial Bankruptcy

Confidentiality Agreements

Early Stage Companies

Incentive Compensation

Institutional Investors

NAV

Proposed Legislation

Risk Mitigation

401k

ASIC

Capital Requirements

Closed-End Funds

Corporate Culture

Data Collection

Market Participants

NAIC

Office of Foreign Assets Control (OFAC)

Premerger Notifications

Private Investment Funds

Proxy Voting Guidelines

Registered Investment Companies (RICs)

Registration Requirement

Regulatory Standards

Small and Medium-Sized Enterprises (SMEs)

Consumer Lenders

Consumer Protection Laws

Employer Liability Issues

FATF

Financial Statements

Governance Standards

Merger Agreements

MSRB

Public Offerings

State Attorneys General

Statutory Interpretation

Brokered Deposits

Commercial Litigation

Controlling Stockholders

Corporate Issuers

Decentralized Autonomous Organization (DAO)

Electronic Filing

Fees

Financial Services Committee

First Amendment

Foreign Private Issuers

Instant Messaging Apps

Israel Securities Authority (ISA)

Judicial Authority

Material Misstatements

Ontario Securities Commission (OSC)

Preliminary Injunctions

Private Equity Firms

Amended Regulation

Corporate Financing

Cross-Border Transactions

Deferred Prosecution Agreements

Designated Contract Markets (DCMs)

Environmental Protection Agency (EPA)

Financial Regulatory Agencies

HKEx

Material Nonpublic Information

NCUA

Non-Compete Agreements

Portfolio Managers

Privately Held Corporations

Self-Disclosure Requirements

Shareholder Meetings

Stewardship Code

Woman Board Members

Basel Committee on Banking Supervision (BCBS)

Business Strategies

CARB

Code of Conduct

Confidential Information

Dispute Resolution

Equity Compensation

European Central Bank

European Economic Area (EEA)

Fair Market Value

Financial Reporting Council (FRC)

Food and Drug Administration (FDA)

Foreign Corporations

Guidance Update

Healthcare Fraud

Hong Kong Securities and Futures Commission (HKSFC)

Licensing Rules

Market Manipulation

Notice of Proposed Rulemaking (NOPR)

Nvidia Corp v E Ohman J or Fonder AB

Objective Falsity

Pharmaceutical Industry

Portfolio Companies

PTEs

REIT

Separation Agreement

Smart Contracts

Task Force on Climate-related Financial Disclosures (TCFD)

Third-Party Service Provider

Alternative Investment Funds

Bankruptcy Code

Books & Records

CFOs

Collateralized Loan Obligations

Collective Investment Schemes

Commodity Trading Advisors (CTAs)

Compliance Management Systems

Compliance Monitoring

Corporate Executives

Customer Identification Program (CIP)

DE Supreme Court

Enforcement Statistics

Federal Contractors

Financial Adviser

FTSE

GAAP

Governor Newsom

Holding Companies

Incentive Stock Options

Institutional Limited Partners Association (ILPA)

Limited Liability Company (LLC)

NIST

Political Campaigns

Public Disclosure

Securities Tokens

Securities Transactions

Settlement Agreements

Stakeholder Engagement

State and Local Government

Trading Policies

Anti-Fraud Provisions

Antitrust Division

Antitrust Violations

Audit Committee

Bank Recovery and Resolution Directive (BRRD)

Benefit Plan Sponsors

British Virgin Islands

C-Suite Executives

Carbon Off-Set Credits

Cease and Desist

Class Certification

Commission Delegated Regulation

Corporations Code

Covered Entities

Customer Due Diligence (CDD)

Debt

Department of Financial Protection and Innovation (DFPI)

Digital Operational Resilience Act (DORA)

Digital Wallets

Emerging Technologies

Enforcement Authority

Financial Stability Board

Financial Transactions

General Partnerships

Gold

Government Shutdown

IFRS

Intellectual Property Protection

Investment Contract

Investment Opportunities

Investor Protection

Merger Controls

No-Action Letters

Notice Requirements

Online Platforms

Payment Services Directive

Permanent Injunctions

Personal Liability

Public Interest

Public Statements

QPAM

Regulation Technical Standards (RTS)

Regulatory Violations

Self-Regulatory Organizations

Shareholder Rights

Statutory Violations

Wealth Management

Bankruptcy Court

Business Development

Business Operations

Capital Formation

Climate Action Plan

Compliance Dates

Continuing Legal Education

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

Coronavirus/COVID-19

CPOs

Cybersecurity Framework

Debt Collection

Economic Growth

Employee Stock Purchase Plans

Employee Training

Estate Planning

EU Market Abuse Regulation (EU MAR)

Export Controls

Fourteenth Amendment

Futures Commission Merchants (FCMs)

Geological Data

Government Officials

HMRC

Independent Director

Inflation Reduction Act (IRA)

Internal Reporting

Judicial Review

Liquidity Risk Management Rule

Loan Origination Funds

Misappropriation

Money Market Funds

Non-Bank Lenders

Non-Public Information

NPRM

OECD

Passive Investments

Private Placements

Registered Funds

Registration Statement

Regulatory Agencies

Restricted Stocks

SEC Commissioner

Secured Overnight Funding Rate (SOFR)

Severance Agreements

State Legislatures

Statute of Limitations

Stockholder Agreements

Summary Judgment

Tax Cuts and Jobs Act

The Clayton Act

Unfair or Deceptive Trade Practices

Uniform Commercial Code (UCC)

XBRL Filing Requirements

Accounting Standards

Acquisition Agreements

Administrative Agencies

Alberta Securities Commission

Anti-Dilution Terms

Anti-Retaliation Provisions

Anti-Terrorism Financing

Asset-Backed Securities

Attorney's Fees

Best Interest Standard

BVI Business Companies

Campaign Contributions

Capital Gains Tax

CBCA

Central Bank of Ireland

Confidentiality Policies

Congressional Review Act

Consultation Papers

Credit Facilities

Criminal Convictions

Crisis Management

Critical Infrastructure Sectors

Debt Instruments

Debt Restructuring

Defined Contribution Plans

Demand Futility

Department of Health and Human Services (HHS)

Derivatives Clearing Organizations

Election Results

EU Prospectus Regime

European Parliament

Executive Orders

FBI

FCC

FEPA

Financial Instruments

Financial Services and Markets Act

Government Investigations

Individual Accountability

Information Technology

Initial Coin Offering (ICOs)

Innovative Technology

International Emergency Economic Powers Act (IEEPA)

IRC Section 83(b)

Island of Guernsey

Know Your Customers

Litigation Strategies

London Stock Exchange

Misleading Impressions

Municipal Securities Issuers

Non-Disclosure Agreement

Non-GAAP Financial Measures

Open-Ended Fund Companies (OFCs)

Over The Counter Derivatives (OTC)

Pending Litigation

Petition for Writ of Certiorari

Pleading Standards

Policy Statement

Prejudgment Interest

Prudential Standards

Registration Fees

Renewable Energy

Restrictive Covenants

SBA

Securities Dealers

Senior Management Regime (SMR)

Senior Managers

Shareholder Votes

Shareholders' Agreements

SIBA

Smaller Reporting Companies

State Labor Laws

Stock Repurchases

Time Extensions

Trade Relations

UK Competition and Markets Authority (CMA)

Unconstitutional Condition

Unregistered Brokers

Voting Securities

American Bar Association (ABA)

Appointments Clause

Arbitrary and Capricious

Asia

Australian Securities Exchange (ASX)

Banking Regulators

Bids

Board of Governors

Breach of Contract

Bureau of Industry and Security (BIS)

Business Disputes

Business Litigation

Campaign Finance Reform

Central Bank Digital Currency (CBDCs)

Commercial Contracts

Confidential Witnesses

COP

Corporate Entities

Corporate Management

Corporate Sales Transactions

Corporate Taxes

Cost-of-Living Adjustment (COLA)

Criminal Conspiracy

Currency Transaction Reports (CTR)

Cybersecurity Information Sharing Act (CISA)

Data Management

Dear CEO Letter

Department of Defense (DOD)

Depository Institutions

Digital Platforms

Digital Securities

Disciplinary Proceedings

Dissenting Opinions

Electronically Stored Information

Employee Contributions

Environmental Litigation

Environmental Violations

Equity Securities

European Benchmark Regulation (BMR)

Exchange-Traded Products

Facebook Inc v Amalgamated Bank

Failure to Comply

Failure-to-File

Federal Elections

Financial Action Task Force

Foreign Direct Investment

FSOC

General Elections

Global Dealmaking

Health Care Providers

High Yield Bonds

Hong Kong Monetary Authority (HKMA)

Information Governance

Insider Information

Insurance Regulations

Insured Depository Institutions

Lack of Authority

Market Volatility

Municipal Securities Market

National Competent Authorities (NCA)

OIG

Performance Standards

Personal Information

Personally Identifiable Information

Pre-Merger Filing Requirements

Presidential Appointments

Presidential Nominations

Price Inflation

Public Corruption

Real Estate Investments

Reputational Injury

Required Minimum Distributions

Resource Extraction

S&P

Secondary Markets

Securities Exchanges

Security and Privacy Controls

Security-Based Swaps

Social Networks

State Privacy Laws

Stock Appreciation Rights

Strategic Planning

Tel Aviv Stock Exchange (TASE)

Terrorism Funding

The Pensions Regulator (TPR)

Venture Funding

Workplace Violence

Advisory Opinions

Affordable Housing