Securities

SEC Dodd-Frank Compliance CFTC Enforcement Actions EU FCPA Disclosure Requirements FINRA Shareholders JOBS Act Swaps Investment Adviser Whistleblowers Broker-Dealer Enforcement Securities Fraud DOJ Securities Fraud SCOTUS Insider Trading Securities Exchange Act Reporting Requirements Banks Class Action Board of Directors Popular RMBS Investors Corporate Governance Derivatives Chief Compliance Officers Fiduciary Duty ESMA Securities Act of 1933 Executive Compensation Crowdfunding Settlement Federal Reserve Shareholder Litigation Swap Dealers General Solicitation Cybersecurity Hedge Funds Regulation D IPO UK FDIC Rule 506 Offerings Conflict Mineral Rules Sarbanes-Oxley Investment Funds Whistleblower Protection Policies Corporate Counsel Registration China Stocks Startups Financial Regulatory Reform No-Action Letters Audits Canada Private Equity Publicly-Traded Companies AIFMD Accredited Investors IRS ERISA Securities Litigation No-Action Relief OCC Proposed Regulation CFPB Volcker Rule EMIR Foreign Investment Issuers Whistleblower Awards Bribery Banking Sector Mortgages Directors Fraud-on-the-Market OCIE Risk Management Advertising Appeals Major Swap Participants Ethics Mary Jo White European Commission Private Placements Brokers Regulation A CPO Due Diligence Derivative Suit Breach of Duty Conflicts of Interest Criminal Prosecution Proxy Statements Class Certification Halliburton Mortgage-Backed Securities Retaliation Exemptions Rating Agencies Cross-Border Employer Liability Issues Foreign Banks Investment Advisers Act of 1940 FHFA NYSE Public Offerings Social Media AIFM Data Protection ISS Nasdaq Internal Controls Small Business Internal Investigations Mergers Statute of Limitations Halliburton v Erica P. John Fund Financial Institutions Anti-Corruption Bylaws Risk Assessment Rule 144A Final Rules FTC Hong Kong Corporate Officers Financial Conduct Authority Commodities Public Disclosure OTC Ponzi Scheme Bad Actors Sanctions Australia Fund Managers Confidentiality Agreements Emerging Growth Companies NFA Investigations Investment Company Act of 1940 Commodity Pool Municipal Advisers Recordkeeping Requirements Say-on-Pay Shareholder Proposals Transparency FCA New Regulations Oil & Gas Regulation S-K Arbitration Misrepresentation Jurisdiction Proposed Amendments Strategic Enforcement Plan Capital Markets JPMorgan Chase Money Market Funds Asset Management White Collar Crimes Acquisitions Rule 10b-5 Collateralized Debt Obligations Compensation Committee Investment Management Bonds Proxy Voting Guidelines DOL Venture Capital Municipal Bonds Mutual Funds Underwriting Asset-Backed Securities FCMs High Frequency Trading Private Equity Funds Security-Based Swaps Libor C-Suite Executives Commodities Exchange Act Delaware General Corporation Law Disclosure Filing Requirements Marketing Administrative Hearings CEOs Municipalities PCAOB Safe Harbors Anti-Money Laundering First Amendment Material Nonpublic Information Proxy Season Bank of America CEA Citigroup CTA Disgorgement Income Taxes MiFID Penalties U.S. Treasury Virtual Currency Books & Records Fannie Mae FinCEN ISDA MSRB Pensions Business Judgment Rule Data Breach Motion to Dismiss Prudential Regulation Authority Basic v Levinson FCPA Resource Guide Financial Markets Private Funds Deferred Prosecution Agreements Foreign Exchanges Freddie Mac Futures Shareholder Activism Illegal Tipping Material Misstatements Private Offerings Controlling Stockholders Deadlines Hart-Scott-Rodino Act IOSCO Civil Monetary Penalty Fees Listing Standards SEFs Financial Statements Omnicare Shareholder Rights DSIO ESOP Funding Regulation FD Dismissals FIfth Third Bancorp v Dudenhoeffer Goldman Sachs US v Newman Anti-Retaliation Provisions Bitcoins Corruption Pay-for-Performance Risk Retention Threshhold Requirements Financial Services Authority Market Manipulation New Legislation Proposed Legislation Annual Reports Cross-Border Transactions Retirement Plan ETFs FSOC Minority Shareholders European Banking Authority Extraterritoriality Rules Forum Selection Clause KBR (formerly Kellogg Brown & Root) Market Participants Professional Liability UBS Employee Benefits Pay Ratio Regulatory Agenda Facebook False Statements Proprietary Trading Section 11 Custody Rule Omnicare v Laborers District Council Small Offering Exemptions Basel Committee Hedging Personal Liability Registration Statement Trustees UCITS Auditors Capital Requirements Derivatives Clearing Organizations GAAP Stress Tests Commercial Bankruptcy Deutsche Bank Margin Requirements Personal Benefit Regulatory Standards Rulemaking Process Valuation Foreign Corporations Form SD Lawson v FMR Morgan Stanley Bank Secrecy Act Cyber Attacks Judge Rakoff Legislative Agendas Proxy Advisors Shareholder Votes Stock Options Alternative Investment Funds Amended Regulation Bank Holding Company Fee-Shifting Financing Manufacturers Misappropriation Portfolio Managers S&P Short Sales Stock Drop Litigation D&O Insurance Equity Compensation Municipal Securities Issuers Proxy Access Rule Scienter SIFMA Basel III Clawbacks Corporate Taxes EDGAR Preemption Subsidiaries CME Credit Ratings Patents Pharmaceutical Wal-Mart CPOs FERC Foreign Official Pay-To-Play Bernie Madoff Breach of Contract Capital Formation Form 10-K Prospectus Risk Mitigation Employee Stock Purchase Plans End-Users Equity Financing Financial Reporting Loans New Guidance Public Comment Structured Financial Products Tender Offers Capital Gains Attorney's Fees Exchange-Traded Products Fines Hiring & Firing Mining Moody's Notice Requirements Presumption of Reliance Total Shareholder Return (TSR) Canadian Securities Administration EEA Entrepreneurs Money Laundering Trust Preferred Securities UK Bribery Act Corporate Culture Fitch Gabelli v SEC HUD MCDC NAM OFAC Pharmaceutical Manufacturers Resource Extraction US Bancorp 401k Amgen Inc. v Connecticut Retirement Plans Equity Securities False Claims Act Healthcare NCUA Netflix Russia Standing Technology Annual Meeting Attorney-Client Privilege EB-5 FATCA Government Investigations Insurers Interest Rates Merger Agreements Neither Admit Nor Deny Settlements Anti-Bribery Blue Sky Laws Form D Filing Guidance Update Liability Offerings Officers Section 10(b) Securitization Self-Reporting SLUSA Third-Party Contractors Economic Development Filing Deadlines Filing Fees Non-Prosecution Agreements Pleadings Rule 506(c) CCPs Collateralized Loan Obligations Municipal Securities Market Pleading Standards Qualified Mortgage Rule Waivers ALJ Diversity FIRREA Investment Companies Mandatory Clearing Requirements Position Limits SEC v Citigroup Summary Judgment Appraisal Arbitration Agreements Fee-Shifting Statutes FMR LLC Foreign Nationals Injunctions Life Sciences NASAA NAV NEP Real Estate Investments REIT Algorithmic Trading Energy Evidence Financial Adviser Going-Private Transactions Registration Requirement Rule 21F SFC CMBS Corporations Code Credit Default Swaps Creditors Discovery Rule Form 8-K Japan Memorandum of Understanding Merrill Lynch Subcontractors Barclays Countrywide Indictments IRC Liquidity Fees Loss Causation Swap Clearing Training Administrative Procedure Act ASIC Bank of England Best Management Practices Disqualification Dividends Misleading Statements Political Contributions Privately Held Corporations PSLRA Regulation AB Risk Alert Whole Foods Chevron Deference Confidential Information Corporate Issuers Discovery Energy Sector Equity Markets HSBC Incentive Stock Options Independent Boards Lehman Brothers Life Insurance NASD Preferred Shares Repurchases Swap Data Repositories Title III Affiliates Antitrust Litigation Bank Holding Company Act Barack Obama Business Development Chapter 11 Contract Drafting Foreign Subsidiaries Insolvency Natural Resources Ontario Securities Commission OSC Statement of Opinion Twitter Visas Benefit Plan Sponsors Dark Pool DBRS Debt Glass Lewis Good Faith Identity Theft Information Sharing Liquidation Multinationals Nonbank Firms Redemption Gates Remuneration Supervision Tax Reform Termination Title VII Wire Fraud Benchmarks Clearing Agencies Debt Securities Enforcement Statistics Fairness Standard FHA Hong Kong Stock Exchange Incentive Compensation Industry Examinations Lenders MiFID II Natural Gas New Amendments NRSRO Pending Legislation Price Manipulation Regulation SCI Securitization Vehicles Siemens Spoofing Stock Trades ABS Asia Asset Valuations Attorney Generals Bear Sterns Commodity Futures Contracts Community Banks EEOC Employment Contract Form ADV FSB Independence Rules Iran Threat Reduction and Syria Human Rights Act Minerals Putative Class Actions Real Estate Market Reed Hastings SIFIs Target Company The Clayton Act Venture Funding Websites Accounting Fraud Africa Avon Biotechnology Deferred Compensation Forward Contracts Hostile Takeover Indemnification Institutional Investment Iran Sanctions Legal Entity Identifiers Middle East National Futures Association NIST Non-Disclosure Agreement OECD Payday Loans Proxy Materials Retailers Secondary Markets Statute of Repose Supply Chain Wages Accounting Controls Adverse Employment Action Affordable Care Act Aiding and Abetting Amgen Bad Faith Bitcoin Broken Windows Family Offices Fifth Third Mortgage Company Foreclosure Foreign Currency Hotels Internet Liquidity Coverage Ratio Material Disclosures Personal Jurisdiction Private Investment Funds Qualified Small Business Stock Rule 14a-8 Tax Deductions Tolling Voting Rights Wells Fargo Block Trades Business Development Companies Chadbourne & Parke LLP v Troice Code of Conduct Equity Plans European Central Bank Federal Rules of Civil Procedure FFIEC Financial Services Industry Finders FSMA Golden Parachutes Infrastructure Interlocutory Appeals International Harmonization International Tax Issues IRA Licenses LLC NLRB Offshore Funds Petition For Rehearing Richard Cordray Shadow Banking Swap Market Third-Party Risk Trade Market Abuse Trade Options Automotive Industry Consent Decrees Conspiracies Corporate Sales Transactions Corporate Social Responsibility COSO FBI Federal Contractors Fixed Income Investments Foreign Affiliates Form BE-10 Future Commission Merchants GAO Limited Partnerships Materiality Morrison v National Australia Bank Segregated Funds SFO SPVs Standard of Review Subprime Mortgages Swap Execution Facilities USCIS Utilities Sector 10b5-1 Plans Accounting Bankruptcy Code BIS BrokerCheck Business Formation Cease and Desist Orders Common Stock Compensation & Benefits Duty of Prudence En Banc Review Exculpatory Clauses Exemptive Relief Fiduciary Liability Foreign Jurisdictions Forfeiture FX Swaps Information Reports Internal Audit Functions Legislative Committees Limited Liability Companies Negligent Misrepresentation OSHA Professional Conferences Protected Activity Rebuttable Presumptions REITS Retirement RICO Student Loans Subpoenas TILA Trade Policy U.S. Commerce Department Ukraine Administrative Appointments Alternative Trading Systems Burden of Proof CBOE Contract Interpretation Covenant of Good Faith and Fair Dealing Credit Cards DE Supreme Court Debtors Demand Futility Disruptive Trading Practices Employer Mandates Ernst & Young Financial Products Foreign Markets France Funding Portal G20 GlaxoSmithKline Goodyear Investment Banks Litigation Strategies London Stock Exchange Medical Devices Motion To Stay Omissions Partnerships Patent Litigation Proxy Contests Ralph Lauren Regulation M Regulation S-X Renewable Energy Representations and Warranties Required Documentation Section 409A Self-Regulatory Organizations Solar Energy Transfer Agents UAE Wall Street Amnesty International Angel Investors Annuities Arbitrage BitLicense Business Litigation Buyouts BVI Business Companies Certiorari Comment Period Commercial Real Estate Market Competition Condominiums Corporate Charters Counterparties Credit Suisse Cyber Insurance Debt Collection Discrimination DMO Employee Shareholders Family Businesses Floating NAV Foreign Direct Investment Forex Forum Fraudulent Transfers Insurance Industry Interest Rate Swaps Investment Portfolios Market Making Mortgage Loan Originators Negligence Nvidia Personally Identifiable Information Pre-Merger Filing Requirements Prejudgment Interest Private Securities Litigation Reform Act of 1995 Proxy Solicitations Real Estate Development Receivership Restricted Stocks Revlon Standard Section 162(m) SEHK Stock Purchase Agreement Stock Repurchases Tax Exemptions Time Extensions Trade Secrets Transaction Fees Trusts Young Lawyers Administrative Review Board Alternative Mutual Funds Amended Legislation American Taxpayer Relief Act Annual Filings Antitrust Provisions ATP Tours BEA Beneficial Owner C&DIs CalPERS Causation Controlled Foreign Corporations Corporate Gifts Damages Due Process EBA Electronic Communications Eligible Contract Participant Email EU Directive Exports Federal Sentencing Guidelines Fiduciary Standard Financial Crimes Fiscal Cliff General Electric Global Economy Government Shutdown Gramm-Leach-Blilely Act Inspection Rights Insurance Litigation Joint Venture MOFCOM Multidistrict Litigation Ontario Securities Act Prescription Drugs Privacy Policy Recess Appointments Red Flags Rule Remediation Rescission Sales SEC Examination Priorities Serious Fraud Office Shareholder Meetings Shareholders' Agreements Singapore Social Media Policy Strict Liability Technical Standards Unjust Enrichment US Bank Verification Requirements Ways and Means Committee Wyndham XBRL Filing Requirements Aggregation Rules AIG Alstom Antidumping Duties Australian Securities and Investments Commission Background Checks Banking Crisis BSA/AML CAFA CFIUS Change in Control Class Action Arbitration Waivers Consultation Convertible Debt Corporate Management Credit Unions Data Collection Default Designated Contract Market Detroit Emerging Technology Companies FASB FDA Financial Transaction Tax Form PF Germany Hackers Hewlett-Packard Hurricane Sandy IFRS Internal Reporting Investor Protection Kickstarter Lending Liability Insurance Medicare Olympics Pension Funds Poison Pill Policy Violations Preliminary Injunctions Proxies Prudential Standards QuickScore RBS Restructuring RICs Royal Bank of Scotland Rule 10(b) SAC Capital SAR Seed Financing Sentencing Severance Agreements Smith & Wesson Swap Agreements Title IV Trademarks TSX Venture Exchange Voluntary Disclosure Accountants Admissions of Liability Appointments Clause Asset Diversification Bank Fraud Best Practices Bundling Rules Business Valuations C-Corporation Cease and Desist CFOs Chamber of Commerce Chapter 9 Charitable Donations Confidentiality CSRC Cybersecurity Framework Dell Deloitte Department of Business Oversight Duty of Care Duty to Disclose Electronic Filing Eli Lilly Emerging Markets Escrow Accounts Examination Priorities Exemptive Orders Export Controls Fair and Effective Markets Review (FEMR) Fair Lending FCPA Guidance FCRA Final Guidance Financial Instruments Foreign Private Issuers Form 10-Q Gain Exclusion Government Officials Hospitality Industry India Institutional Investors International Arbitration Investment Fraud ISOs Listing Rules Mexico MF Global MFW Municipal Bankruptcy Non-Judicial Settlement Agreements Offshore Companies Peer-to-Peer Performance Incentives Premerger Notifications Push-Out Requirements Reverse Mergers Rule 156 SAFE Saudi Arabia Social Networks Sports Statement of Facts Stock Exchange Tax Evasion Tax-Exempt Bonds Transfers Unfair or Deceptive Trade Practices Variable Annuities Wells Notice Written Consent