Securities Administrative Agency Business Torts

SEC Enforcement Actions Insider Trading Investment Adviser Fraud Securities Fraud Investment Advisers Act of 1940 CFTC Financial Services Authority Penalties Securities Act of 1933 Disclosure Requirements Dodd-Frank Enforcement Investment Funds Securities Securities Exchange Act Conflicts of Interest Administrative Hearings Breach of Duty Chief Compliance Officers Civil Monetary Penalty Disgorgement Fiduciary Duty Illegal Tipping Misrepresentation Administrative Proceedings C-Suite Executives Compliance Criminal Prosecution Material Nonpublic Information Misappropriation Popular Settlement US v Newman Asset Management Cease and Desist Orders False Statements Municipal Bonds Municipal Securities Issuers Municipalities Personal Benefit Securities Litigation UK ALJ Appeals Appointments Clause BlackRock Brokers CFPB Consent Decrees Corporate Officers Due Diligence ERISA Excessive Fees FinCEN Hong Kong Internal Controls Investment Fraud Investment Management Joint Venture Market Manipulation Mary Jo White MCDC Negligence Neither Admit Nor Deny Settlements OCIE Offerings Personal Liability Policies and Procedures Ponzi Scheme Portfolio Managers Private Equity Private Equity Funds Public Offerings RMBS SCOTUS SEC v Citigroup Section 10(b) Shareholders Statute of Limitations Swaps Trump Administration Whistleblowers Acquisition Agreements Administrative Procedure Act Affiliates Amended Rules Analytics Apple Appraisal Appraisal Rights Asset Valuations Attorney Generals Audits Australia Bank Fraud Bank Holding Company Bank Secrecy Act Banks Best Interest Contract Exemptions Bitcoin Board of Directors Books & Records Burger King Canada CCO Cease and Desist Cell Phones Chevron Deference Citigroup Class Action Class Certification Commodities Compensation Committee Constitutional Challenges Consumer Lenders Control Person Corporate Counsel Corporate Executives Corporate Investigations Corporate Misconduct Cross-Border Transactions Cryptocurrency Delays Demand Futility Derivative Suit Derivatives Derivatives Clearing Organizations Detrimental Reliance Disclosure Discounts Discussion Draft Division of Economic and Risk Analysis (DERA) DOJ DOL Duty of Care E-Commerce EB-5 EB-5 Regional Centers Economic Impact Analysis Educational Institutions Electronic Trading EMMA End-Users Ethics Exchange-Traded Products Executive Compensation Failure to Validate Falsified Documents FCC FCPA FDIC Federal Rules of Civil Procedure Fiduciary Rule Fifth Amendment Final Judgment Financial Conduct Authority (FCA) Financial Statements FINRA Forum Selection FSMA FTC Fund Expenses Fund Managers Hedge Funds Herballife High Frequency Trading Information Sharing Injunctions Interlocutory Appeals Internal Investigations Investigations Investment Investors ISS Itt Educational Services Judge Rakoff Kokesh v SEC Kraft Libor Mail Fraud Market Participants Material Misrepresentation Material Misstatements Mergers Military Service Members Mortgages Municipal Securities Market NFA No-Action Letters No-Action Relief NYSE OCC Offering Fraud Oil & Gas Omissions Pay-To-Play Payday Loans Permanent Injunctions Petition For Rehearing Pleading Standards Pleadings Policy Violations Presidential Memorandum Promissory Notes Provincial Capital Markets Act Proxy Statements Proxy Voting Guidelines Public Officials Public Sector Real Estate Investments Receivership Registered Investment Advisors Registration Requirement Regulatory Reform Retirement Plan Right to Remain Silent Risk Management Rule 10(b) Rule 10b-5 Rule 15c2-12 Sanctions SAR Say-on-Pay Scienter Secondary Markets Section 10(b)-5 Section 11 Section 36(b) Security-Based Swaps Self-Dealing Serious Fraud Office Settlement Agreements Shareholder Litigation SIFMA Spoofing Statistical Analysis Statute of Repose Strategic Enforcement Plan Strict Liability Student Loans Target Company Tender Offers Tippees Tone At The Top TPAs Trade Options Transparency U.S. Treasury Underwriting Unregistered Brokers Vacated Valuation Virtual Currency Wells Fargo White Collar Crimes Wire Fraud Wireless Industry Yates Memorandum