Browse Related Topics For:

Securities › Administrative Agency › Civil Remedies

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Enforcement Actions

Investment Adviser

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

Securities Exchange Act

Securities Fraud

CFTC

Securities Litigation

Corporate Transparency Act

Greenhouse Gas Emissions

Risk Management

Financial Institutions

Regulatory Agenda

Securities Exchange Act of 1934

Capital Markets

Financial Industry Regulatory Authority (FINRA)

Artificial Intelligence

Regulatory Requirements

UK

Anti-Money Laundering

Board of Directors

Investment Advisers Act of 1940

Special Purpose Acquisition Companies (SPACs)

EU

Foreign Corrupt Practices Act (FCPA)

Securities Act of 1933

Initial Public Offering (IPO)

Insider Trading

White Collar Crimes

Investment Management

Stock Repurchases

Corporate Social Responsibility

Investment Funds

Financial Conduct Authority (FCA)

Financial Markets

Whistleblower Protection Policies

Recordkeeping Requirements

Investment Company Act of 1940

Registered Investment Advisors

Corporate Counsel

Crypto Exchanges

Cyber Incident Reporting

Financial Regulatory Reform

Policies and Procedures

Anti-Corruption

Misrepresentation

Money Laundering

Regulatory Reform

Macquarie Infrastructure Corp v Moab Partners LP

Civil Monetary Penalty

Conflicts of Interest

Federal Trade Commission (FTC)

Financial Crimes

Regulatory Oversight

Consumer Financial Protection Bureau (CFPB)

Misleading Statements

Venture Capital

Bank Secrecy Act

ETFs

Federal Reserve

Filing Deadlines

National Security

Administrative Procedure Act

Financial Statements

Internal Controls

Risk Assessment

Whistleblower Awards

European Securities and Markets Authority (ESMA)

Failure To Disclose

Machine Learning

Material Misstatements

Putative Class Actions

Criminal Prosecution

Chief Information Security Officer (CISO)

IRS

Executive Compensation

Asset Management

Canadian Securities Administration

Corporate Misconduct

Bank of England

Electronic Communications

FDIC

Financial Reporting

Investment Companies

NYSE

OCC

Office of Foreign Assets Control (OFAC)

Proposed Amendments

Securities Transactions

Suspicious Activity Reports (SARs)

Climate Action Plan

Constitutional Challenges

Consumer Financial Products

European Commission

Limited Liability Company (LLC)

NDAA

Smaller Reporting Companies

Decentralized Finance (DeFi)

False Statements

Foreign Private Issuers

Futures Commission Merchants (FCMs)

Regulatory Standards

Trading Platforms

Capital Raising

Commodity Exchange Act (CEA)

Confidential Information

Corporate Issuers

Filing Requirements

Listing Standards

Non-Fungible Tokens (NFTs)

Voluntary Disclosure

Emerging Growth Companies

Exchange-Traded Products

Market Participants

Proxy Statements

Unregistered Securities

Adverse Employment Action

First Amendment

Hong Kong Stock Exchange

NPRM

Rulemaking Process

Technology Sector

Controlling Stockholders

Corporate Officers

Distributed Ledger Technology (DLT)

FBI

Shell Corporations

Accredited Investors

Business Entities

Chief Compliance Officers

Digital Currency

Institutional Investors

Misappropriation

Murray v UBS Securities LLC

New Regulations

Prudential Regulation Authority (PRA)

Anti-Retaliation Provisions

Data Protection

Delaware General Corporation Law

FHFA

Material Nonpublic Information

Risk Mitigation

Task Force on Climate-related Financial Disclosures (TCFD)

Diversity and Inclusion Standards (D&I)

Hong Kong Securities and Futures Commission (HKSFC)

Information Technology

Proxy Voting Guidelines

Registration Requirement

SEC Examination Priorities

Shareholder Litigation

Alternative Investment Fund Managers Directive (AIFMD)

Compliance Dates

Confidentiality Agreements

Department of Labor (DOL)

Employer Liability Issues

Investor Protection

Ontario Securities Commission (OSC)

Pharmaceutical Industry

Retail Investors

Retirement Plan

Self-Disclosure Requirements

Shareholder Proposals

Shareholder Rights

Virtual Currency

Business Ownership

Economic Sanctions

Employee Retirement Income Security Act (ERISA)

European Banking Authority (EBA)

False Claims Act (FCA)

Financial Transactions

GAAP

Institutional Shareholder Services (ISS)

Internal Revenue Code (IRC)

Investment Contract

Investment Opportunities

MNPI

Non-Public Information

Proposed Legislation

Proposed Regulation

UBS

Administrative Proceedings

Business Strategies

Carbon Emissions

Chamber of Commerce

Compensation & Benefits

Coronavirus/COVID-19

Corporate Crimes

Customer Due Diligence (CDD)

Environmental Policies

Financial Services Committee

Foreign Investment

Investment Firms

NAV

New Legislation

NIST

Public Offerings

Regulatory Authority

Regulatory Violations

REIT

SBA

Smart Contracts

State Attorneys General

Sustainable Business Practices

Unconstitutional Condition

Administrative Law Judge (ALJ)

Amended Regulation

Asset-Backed Securities

Biden Administration

Criminal Penalties

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

Environmental Protection Agency (EPA)

Food and Drug Administration (FDA)

Governance Standards

Incentive Compensation

Incident Response Plans

Market Manipulation

Ownership Interest

Real Estate Investments

Summary Judgment

XBRL Filing Requirements

Commodity Trading Advisors (CTAs)

Compliance Monitoring

Consumer Lenders

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Enforcement Priorities

Equity Securities

FEPA

HKEx

Internal Investigations

Investment Portfolios

MD&A Statements

NCUA

Non-GAAP Financial Measures

Portfolio Companies

Registration Statement

Renewable Energy

Securities Dealers

Securities Traders

Seventh Amendment

Shareholder Activism

Statutory Violations

Sustainable Finance

Anti-Fraud Provisions

Business Litigation

Capital Investments

Clearing Agencies

Commercial Bankruptcy

Continuing Legal Education

DE Supreme Court

Debt Securities

Derivatives Clearing Organizations

Employment Contract

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

FSMA

Know Your Customers

Private Equity Funds

Privately Held Corporations

Regulation Technical Standards (RTS)

Repurchase Agreements

Securities Tokens

Securitization Standards

Security-Based Swaps

Shareholder Meetings

Terrorism Funding

Trading Policies

Bankruptcy Code

Bankruptcy Court

Books & Records

British Columbia Securities Commission

Capital Formation

CDIs

Cease and Desist Orders

Closed-End Funds

Compliance Management Systems

Criminal Investigations

Data Collection

Department of Energy (DOE)

Entire Fairness Standard

Executive Orders

FATF

Financial Instruments

Financial Services and Markets Act

Fixed Income Investments

Foreign Entities

Hiring & Firing

Information Reports

Insurance Industry

Intellectual Property Protection

Investment Fraud

Investment Products

Limited Partnerships

Motion to Dismiss

No-Action Letters

Notice of Proposed Rulemaking (NOPR)

OECD

Passive Investments

Pay-for-Performance

Personal Information

Portfolio Managers

Protected Activity

Proxy Advisory Firms

Regulation Best Interest

SFDR

Syndicated Loans

401k

Administrative Stay

Alternative Investment Funds

Appellate Courts

British Columbia Securities Commission (BCSC)

Business Judgment Rule

CFOs

Class Certification

Commerce Clause

Commodities Traders

Congressional Review Act

Consumer Protection Act

Corporate Taxes

Corporations Code

Cybersecurity Information Sharing Act (CISA)

Designated Contract Markets (DCMs)

Dispute Resolution

Export Controls

Federal Contractors

Financial Adviser

Financial Regulatory Agencies

Foreign Issuers

General Data Protection Regulation (GDPR)

Hong Kong Monetary Authority (HKMA)

Inflation Reduction Act (IRA)

Information Sharing

Initial Coin Offering (ICOs)

International Emergency Economic Powers Act (IEEPA)

Judicial Review

Law Enforcement

Legislative Agendas

Merger Agreements

Mortgage-Backed Securities

Policy Statement

Political Contributions

Price Inflation

Private Equity Firms

Private Right of Action

Quarterly Report

Securities Exchanges

Securitization Market

Serious Fraud Office (SFO)

Shareholder Votes

Stock Purchase Agreement

Third-Party Risk

Threshold Requirements

Total Shareholder Return (TSR)

Accounting Standards

Activist Investors

Aiding and Abetting

Antitrust Provisions

Benefit Plan Sponsors

Burden of Proof

Capital Requirements

CEOs

Commercial Litigation

Critical Infrastructure Sectors

Customer Identification Program (CIP)

Debt

Department of Defense (DOD)

Digital Securities

Early Stage Companies

EFTs

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

FSOC

General Corporation Law

Governor Newsom

Gramm-Leach-Blilely Act

Indemnification

Individual Retirement Account (IRA)

Information Security

Innovative Technology

Instant Messaging Apps

Institutional Investment

ISDA

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Municipal Bonds

Non-Disclosure Agreement

Non-Prosecution Agreements

Objective Falsity

OMB

Online Platforms

PFAS

Predictive Analytics

Public Disclosure

Regular Business Communications

Reverse Stock Splits

Safeguards Rule

Sanction Violations

SEC Comment Letter Process

Shareholder Approval

SRO

Statutory Trusts

Stockholder Agreements

AIFM

Anti-Kickback Statute

Arbitrary and Capricious

ASIC

Audit Committee

Business Development

Business Disputes

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

Central Bank Digital Currency (CBDCs)

Chevron Deference

Consolidated Audit Trail

Consultation Papers

Consumer Financial Protection Act (CFPA)

Cooling-Off Rule

Corporate Culture

Corporate Financing

CPOs

Credit Facilities

Criminal Conspiracy

Criminal Liability

Data Management

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Derivative Suit

Digital Wallets

Disciplinary Proceedings

Electric Vehicles

EMIR

Energy Information Association (EIA)

Enforcement Authority

Equal Protection

Estate Planning

EU Benchmark Regulation

Fair Credit Reporting Act (FCRA)

False Advertising

Federal Pilot Programs

Federal Rules of Civil Procedure

Federal Sentencing Guidelines

FICC

Fifth Amendment

Financial Promotions

Foreign Exchanges

Fourth Amendment

Fraudulent Transfers

GAO

Government Investigations

Government Securities

Green Infrastructure

Healthcare Fraud

IARD

Inflation Adjustments

Injunctive Relief

Internal Rate of Return (IRR)

International Trade

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Majority Shareholders

Material Misrepresentation

Merger Controls

NLRB

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

OSHA

Pooled Investment Vehicles

Prejudgment Interest

Private Investment Funds

Private Placements

Proposed Guidance

Public Consultations

Public Meetings

Restricted Stocks

SAP America Inc.

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Security Breach

Separation Agreement

Settlement Agreements

Small and Medium-Sized Enterprises (SMEs)

Special Purpose Vehicles

Split of Authority

Statutory Interpretation

Structured Finance

Structured Financial Products

Swap Execution Facilities

Tax Exempt Entities

Terrorist Financing

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Venture Funding

Vulnerability Assessments

Wealth Management

Willful Misconduct

Accounting Fraud

Acquisition Agreements

Administrative Authority

Advanced Notice of Proposed Rulemaking (ANPRM)

Affirmative Action

Alberta Securities Commission

American Bar Association (ABA)

Anti-Terrorism Financing

Arbitration Agreements

Attorney-Client Privilege

Automation Systems

Banking Regulators

Breach Notification Rule

Bureau of Industry and Security (BIS)

Business Development Companies

Business Divorce

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Cannabis Products

Cannabis-Related Businesses (CRBs)

Capital Contributions

Cash Transactions

Cause of Action Accrual

Centers for Medicare & Medicaid Services (CMS)

CFTC Enforcement Manual

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

CMBS

Code of Conduct

Community Reinvestment Act

Complex Corporate Transactions

Consumer Protection Laws

Corporate Charters

Corporate Entities

Corporate Executives

Corporate Liability

Corporate Management

Corporate Restructuring

Corporate Sales Transactions

Corporate Securities Act

Corporate Structures

Counter-Terrorist

Credit Agreements

Criminal Convictions

Cross-Border Transactions

Customer Protection Rule

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Digital Platforms

Do Not Call List

Document Management

Dormant Commerce Clause

Economic Development

Educational Institutions

Emerging Technologies

Emerging Technology Companies

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Enforcement Guidance

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Exemptive Relief

Failure to Comply

Fair-Notice Standard

FCC

Federal Funding

Federal Housing Administration (FHA)

Federal Register

Fees

Financial Fraud

Financial Market Utilities

Financial Reporting Council (FRC)

Financial Restatements

Financial Stability Board

Foreign Agents Registration Act (FARA)

Foreign Governments

Foreign Language

Foreign Official