Browse Related Topics For:

Securities › Administrative Agency › Products Liability

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Corporate Governance

Securities Regulation

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

Corporate Transparency Act

CFTC

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Regulatory Agenda

Financial Institutions

Securities Exchange Act of 1934

Financial Industry Regulatory Authority (FINRA)

Artificial Intelligence

UK

Capital Markets

Regulatory Requirements

Board of Directors

Investment Advisers Act of 1940

Anti-Money Laundering

Special Purpose Acquisition Companies (SPACs)

Securities Act of 1933

EU

Initial Public Offering (IPO)

Foreign Corrupt Practices Act (FCPA)

Insider Trading

White Collar Crimes

Investment Management

Corporate Social Responsibility

Investment Funds

Financial Conduct Authority (FCA)

Stock Repurchases

Financial Markets

Registered Investment Advisors

Whistleblower Protection Policies

Recordkeeping Requirements

Investment Company Act of 1940

Cyber Incident Reporting

Financial Regulatory Reform

Corporate Counsel

Crypto Exchanges

Policies and Procedures

Anti-Corruption

Macquarie Infrastructure Corp v Moab Partners LP

Misrepresentation

Regulatory Reform

Money Laundering

Conflicts of Interest

Federal Trade Commission (FTC)

Financial Crimes

Regulatory Oversight

Civil Monetary Penalty

Misleading Statements

Venture Capital

Consumer Financial Protection Bureau (CFPB)

ETFs

National Security

Risk Assessment

Federal Reserve

Financial Statements

Bank Secrecy Act

Filing Deadlines

Internal Controls

Whistleblower Awards

Administrative Procedure Act

Criminal Prosecution

European Securities and Markets Authority (ESMA)

Machine Learning

Failure To Disclose

Material Misstatements

Corporate Misconduct

Executive Compensation

IRS

Putative Class Actions

Bank of England

Canadian Securities Administration

Electronic Communications

Asset Management

Chief Information Security Officer (CISO)

Financial Reporting

NYSE

Office of Foreign Assets Control (OFAC)

Capital Raising

Climate Action Plan

Constitutional Challenges

Decentralized Finance (DeFi)

European Commission

Investment Companies

Proposed Amendments

Securities Transactions

Smaller Reporting Companies

Consumer Financial Products

Corporate Issuers

False Statements

FDIC

Filing Requirements

Limited Liability Company (LLC)

NDAA

OCC

Suspicious Activity Reports (SARs)

Emerging Growth Companies

Foreign Private Issuers

Futures Commission Merchants (FCMs)

Non-Fungible Tokens (NFTs)

Proxy Statements

Regulatory Standards

Voluntary Disclosure

Confidential Information

Listing Standards

Rulemaking Process

Trading Platforms

Adverse Employment Action

Commodity Exchange Act (CEA)

Controlling Stockholders

Exchange-Traded Products

FBI

Technology Sector

Unregistered Securities

First Amendment

Hong Kong Stock Exchange

Market Participants

Shell Corporations

Accredited Investors

Business Entities

Corporate Officers

Murray v UBS Securities LLC

NPRM

Prudential Regulation Authority (PRA)

Delaware General Corporation Law

Digital Currency

Distributed Ledger Technology (DLT)

FHFA

Material Nonpublic Information

Misappropriation

New Regulations

Proxy Voting Guidelines

Task Force on Climate-related Financial Disclosures (TCFD)

Anti-Retaliation Provisions

Chief Compliance Officers

Data Protection

Diversity and Inclusion Standards (D&I)

Hong Kong Securities and Futures Commission (HKSFC)

Registration Requirement

Risk Mitigation

Shareholder Litigation

Alternative Investment Fund Managers Directive (AIFMD)

Compliance Dates

Confidentiality Agreements

Employer Liability Issues

False Claims Act (FCA)

Institutional Investors

Investment Firms

Pharmaceutical Industry

Self-Disclosure Requirements

Shareholder Proposals

Virtual Currency

Corporate Crimes

Economic Sanctions

European Banking Authority (EBA)

Financial Transactions

Institutional Shareholder Services (ISS)

Investment Contract

Investment Opportunities

Investor Protection

Proposed Legislation

Proposed Regulation

Retail Investors

Retirement Plan

Shareholder Rights

UBS

Administrative Proceedings

Business Ownership

Business Strategies

Carbon Emissions

Compensation & Benefits

Customer Due Diligence (CDD)

Environmental Policies

Financial Services Committee

Foreign Investment

GAAP

Information Technology

Internal Revenue Code (IRC)

MNPI

NIST

Non-Public Information

Ontario Securities Commission (OSC)

Private Equity Funds

Public Offerings

Real Estate Investments

Regulatory Violations

REIT

SBA

SEC Examination Priorities

Unconstitutional Condition

Administrative Law Judge (ALJ)

Amended Regulation

Biden Administration

Chamber of Commerce

Criminal Penalties

Department of Labor (DOL)

Employee Benefits

Employee Retirement Income Security Act (ERISA)

Governance Standards

Incentive Compensation

Market Manipulation

MD&A Statements

NAV

New Legislation

Regulatory Authority

Smart Contracts

State Attorneys General

Summary Judgment

Sustainable Business Practices

XBRL Filing Requirements

Business Litigation

Capital Investments

Commodity Trading Advisors (CTAs)

Consumer Lenders

Coronavirus/COVID-19

DE Supreme Court

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Department of Financial Protection and Innovation (DFPI)

Enforcement Priorities

Environmental Protection Agency (EPA)

FEPA

Food and Drug Administration (FDA)

HKEx

Incident Response Plans

Internal Investigations

Investment Portfolios

NCUA

Ownership Interest

Portfolio Companies

Renewable Energy

Securities Dealers

Securities Traders

Seventh Amendment

Shareholder Activism

Statutory Violations

Sustainable Finance

Asset-Backed Securities

Books & Records

Capital Formation

Cease and Desist Orders

Commercial Bankruptcy

Continuing Legal Education

Debt Securities

Derivatives Clearing Organizations

Employment Contract

Equity Securities

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

FSMA

Non-GAAP Financial Measures

Privately Held Corporations

Proxy Advisory Firms

Registration Statement

Regulation Technical Standards (RTS)

Securities Tokens

Securitization Standards

Security-Based Swaps

Shareholder Meetings

Terrorism Funding

Trading Policies

Anti-Fraud Provisions

Bankruptcy Code

Bankruptcy Court

British Columbia Securities Commission

CDIs

Clearing Agencies

Closed-End Funds

Compliance Management Systems

Criminal Investigations

Data Collection

Department of Energy (DOE)

Entire Fairness Standard

Executive Orders

Federal Contractors

Financial Instruments

Financial Services and Markets Act

Foreign Entities

Hiring & Firing

Information Reports

Insurance Industry

Investment Products

Know Your Customers

Limited Partnerships

Merger Agreements

Motion to Dismiss

No-Action Letters

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

OECD

Passive Investments

Pay-for-Performance

Personal Information

Portfolio Managers

Protected Activity

Regulation Best Interest

Repurchase Agreements

SFDR

Syndicated Loans

401k

Administrative Stay

Alternative Investment Funds

British Columbia Securities Commission (BCSC)

Business Judgment Rule

Class Certification

Commerce Clause

Commodities Traders

Compliance Monitoring

Congressional Review Act

Consumer Protection Act

Corporate Taxes

Corporations Code

Cybersecurity Information Sharing Act (CISA)

Designated Contract Markets (DCMs)

Digital Securities

Dispute Resolution

Export Controls

FATF

Financial Adviser

General Data Protection Regulation (GDPR)

Inflation Reduction Act (IRA)

Information Sharing

Initial Coin Offering (ICOs)

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Fraud

ISDA

Judicial Review

Law Enforcement

Legislative Agendas

Mortgage-Backed Securities

Municipal Bonds

Policy Statement

Political Contributions

Private Equity Firms

Private Right of Action

Quarterly Report

Securities Exchanges

Securitization Market

Serious Fraud Office (SFO)

Shareholder Votes

Stock Purchase Agreement

Stockholder Agreements

Third-Party Risk

Threshold Requirements

Total Shareholder Return (TSR)

Accounting Standards

Activist Investors

AIFM

Antitrust Provisions

Appellate Courts

Benefit Plan Sponsors

Business Disputes

Capital Requirements

CEOs

Commercial Litigation

Corporate Culture

Corporate Financing

Critical Infrastructure Sectors

Debt

Department of Defense (DOD)

Early Stage Companies

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Regulatory Agencies

Foreign Issuers

Fourth Amendment

FSOC

General Corporation Law

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Indemnification

Innovative Technology

Instant Messaging Apps

Institutional Investment

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Non-Disclosure Agreement

Objective Falsity

OMB

Online Platforms

Predictive Analytics

Price Inflation

Public Disclosure

Public Meetings

Reverse Stock Splits

Sanction Violations

SEC Comment Letter Process

Shareholder Approval

Split of Authority

SRO

Statutory Trusts

Acquisition Agreements

Aiding and Abetting

Anti-Kickback Statute

Arbitrary and Capricious

ASIC

Business Development

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CFOs

Chevron Deference

Consultation Papers

Consumer Financial Protection Act (CFPA)

Cooling-Off Rule

Corporate Entities

Corporate Sales Transactions

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

EFTs

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 Sentencing Guidelines

Fees

FICC

Financial Promotions

Fixed Income Investments

Foreign Exchanges

Fraudulent Transfers

Freeze-Out Mergers

GAO

Government Investigations

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

HMRC

IARD

Individual Retirement Account (IRA)

Inflation Adjustments

Information Security

Injunctive Relief

Internal Rate of Return (IRR)

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Material Misrepresentation

Merger Controls

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Prejudgment Interest

Private Investment Funds

Private Placements

Proposed Guidance

Public Consultations

Regular Business Communications

Restricted Stocks

Safeguards Rule

SAP America Inc.

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Small and Medium-Sized Enterprises (SMEs)

State and Local Government

Statutory Interpretation

Structured Finance

Swap Execution Facilities

Tax Exempt Entities

Terrorist Financing

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Venture Funding

Vulnerability Assessments

Wealth Management

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Affirmative Action

Alberta Securities Commission

Anti-Terrorism Financing

Arbitration Agreements

Attorney-Client Privilege

Audit Committee

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development Companies

Business Divorce

Business Valuations

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Campaign Contributions

Cannabis Products

Capital Contributions

Cash Transactions

Cause of Action Accrual

Centers for Medicare & Medicaid Services (CMS)

Central Bank Digital Currency (CBDCs)

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

Code of Conduct

Consolidated Audit Trail

Consumer Protection Laws

Corporate Charters

Corporate Executives

Corporate Liability

Corporate Management

Corporate Restructuring

Corporate Securities Act

Corporate Structures

Counter-Terrorist

Credit Agreements

Criminal Convictions

Cross-Border Transactions

Customer Identification Program (CIP)

Customer Protection Rule

Debt Instruments

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

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair-Notice Standard

FCC

Federal Funding

Federal Housing Administration (FHA)

Federal Register

Federal Rules of Civil Procedure

Financial Fraud

Financial Reporting Council (FRC)

Financial Restatements

Financial Stability Board

Foreign Agents Registration Act (FARA)

Foreign Governments

Foreign Language

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Solicitation

General-Business

Genetic Testing

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Guidance Update

Hart-Scott-Rodino Act

Health Insurance Portability and Accountability Act (HIPAA)