Securities Business Organization

SEC Shareholders Dodd-Frank Disclosure Requirements Executive Compensation Board of Directors JOBS Act Compliance Corporate Governance Publicly-Traded Companies Fiduciary Duty Enforcement Actions Shareholder Litigation Startups Directors Crowdfunding Securities Proxy Statements Investment Adviser IPO Emerging Growth Companies FCPA Compensation Committee Nasdaq Reporting Requirements Pay Ratio Proposed Regulation Whistleblowers NYSE Issuers CEOs Investors Securities Exchange Act Regulation A Regulation S-K Stocks ISS Small Business Bylaws Derivative Suit Pay-for-Performance Say-on-Pay DOJ EU CFTC Chief Compliance Officers Corporate Counsel Public Offerings General Solicitation Clawbacks Mergers Breach of Duty Corporate Officers Class Action FINRA Insider Trading IRS Listing Standards Business Judgment Rule Canada Investment Funds Regulation D Accredited Investors Popular Securities Act of 1933 Securities Fraud Conflicts of Interest Delaware General Corporation Law Broker-Dealer Total Shareholder Return (TSR) Private Equity Shareholder Proposals Audits Proxy Season Shareholder Rights Enforcement Final Rules Fraud Incentive Compensation Sarbanes-Oxley Venture Capital Small Offering Exemptions Transparency Acquisitions Controlling Stockholders FTC Private Placements Proxy Voting Guidelines Settlement Cybersecurity Financial Statements Internal Investigations SCOTUS UK Rule 506 Offerings Books & Records Conflict Mineral Rules Hart-Scott-Rodino Act Shareholder Votes Risk Management Exemptions Fee-Shifting Shareholder Activism Entrepreneurs Foreign Investment Appeals Capital Formation Confidentiality Agreements Stock Options Whistleblower Protection Policies Derivatives Filing Requirements Form 10-K Hedge Funds New Legislation Threshhold Requirements China Corporate Taxes Forum Selection Clause Minority Shareholders Proxy Access Rule Social Media Advertising Equity Financing ESMA Internal Controls Public Disclosure Bribery Foreign Corporations Private Offerings Annual Meeting Corporations Code Equity Compensation Financing Proposed Amendments Swaps Amended Regulation Capital Markets Due Diligence Financial Reporting Going-Private Transactions Hedging Income Taxes KBR (formerly Kellogg Brown & Root) Officers PCAOB Proxy Advisors Registration Swap Dealers Annual Reports Asset Management Banks Funding Mary Jo White C-Suite Executives ERISA Ethics Investment Company Act of 1940 Investment Management Registration Statement Rule 144A Auditors Disclosure Fairness Standard Investment Companies Omnicare Safe Harbors Capital Gains D&O Insurance Form 8-K Independence Rules Material Misstatements No-Action Letters Pensions Section 11 Subsidiaries Canadian Securities Administration Misrepresentation Motion to Dismiss Omnicare v Laborers District Council Privately Held Corporations Regulation FD Wal-Mart AIFMD Anti-Corruption Appraisal Australia Criminal Prosecution EDGAR Federal Reserve Investment Advisers Act of 1940 Liability LLC New Guidance New Regulations Partnerships Preferred Shares Private Funds Proposed Legislation Qualified Small Business Stock Recordkeeping Requirements Risk Assessment Section 162(m) Shareholder Meetings Comment Period Dividends Jurisdiction Money Market Funds Mutual Funds Notice Requirements Penalties Proxy Materials Standard of Review Tax Deductions Valuation Venture Funding Wages Attorney's Fees Brokers Business Development DE Supreme Court Employer Liability Issues European Commission Fund Managers GAAP Insolvency IRC Life Sciences Limited Liability Companies Major Swap Participants OCIE Ontario Securities Commission Personal Liability Retaliation Sanctions Standing Annual Filings Banking Sector Business Formation Corporate Issuers Exculpatory Clauses Facebook Financial Institutions Foreign Subsidiaries Golden Parachutes Hong Kong Independent Boards Restricted Stocks Statement of Opinion Strategic Enforcement Plan Voting Rights Arbitration Audit Committee Bad Actors Blue Sky Laws Corporate Charters Data Protection Demand Futility Dismissals Equity Plans Foreign Banks Foreign Private Issuers Hostile Takeover Indemnification Limited Partnerships Private Equity Funds Professional Liability Rule 10b-5 Rule 10D-1 Shareholders' Agreements Trustees Whistleblower Awards XBRL Filing Requirements Aiding and Abetting Amended Legislation Bad Faith Common Stock CPO Cross-Border Transactions Employee Benefits FCA FCPA Resource Guide Initial Public Offerings Investigations Iran Threat Reduction and Syria Human Rights Act No-Action Relief Political Contributions Ponzi Scheme Proxy Contests Regulatory Agenda Section 10D Securities Litigation Size of Persons Test Size of Transaction Test Tender Offers Tier 2 Offerings Waivers 10b5-1 Plans AIFM Attorney-Client Privilege BVI Business Companies Change in Control Class Certification Clawback Agreements Commodity Pool Contract Drafting Corporate Culture Creditors Family Businesses Fees Financial Markets Foreign Affiliates Glass Lewis Incentive Stock Options Marketing Netflix Offerings Pleadings Preemption Proxy Put Proxy Solicitations Rule 21F Seed Financing Technology The Clayton Act U.S. Treasury UCITS Underwriting Volcker Rule American Taxpayer Relief Act Articles of Incorporation ATP Tours Business Development Companies Business Valuations C-Corporation Controlled Foreign Corporations Disgorgement Emerging Technology Companies Equity Securities Events False Statements Family Offices FDIC Fee-Shifting Statutes Filing Deadlines Financial Services Industry Foreign Exchanges Form ADV Funding Portal Gain Exclusion Good Faith Government Investigations Hong Kong Stock Exchange Independent Director Institutional Investors Internal Audit Functions Internal Revenue Code Legislative Agendas Median Employee Merger Agreements Misappropriation Performance Incentives Pharmaceutical Manufacturers Pleading Standards Public Comment QuickScore Registration Requirement REIT Rulemaking Process Scienter SEC Advisory Committee Section 409A Statute of Limitations Stock Exchange Target Company Third-Party UAE Written Consent Young Lawyers Administrative Procedure Act Angel Investors Anti-Bribery BEA Beneficial Owner Breach of Contract Bundling Rules C&DIs CFPB Choice of Entity Citigroup Compensation Consultant Confidential Information Corporate Dissolution Corruption Cross-Border Deadlines Director Compensation Diversity Employment Contract EU Directive Fiduciary Liability Filing Fees Financial Conduct Authority Fines Foreign Direct Investment Foreign Official Form BE-10 Form SD Former Directors Goldman Sachs IOSCO Japan Joint Venture Material Nonpublic Information Mining Multidistrict Litigation NFA Non-Prosecution Agreements Personal Benefit Preliminary Injunctions Private Investment Funds Prospectus Proxies Regulation S-X Related Parties Retirement Plan Revlon Standard Rule 14a-8 Rule 506(c) S-Corporation Schedule 13D Secondary Markets SEHK Takeover Agreement Tax Court Termination White Collar Crimes ALJ Alternative Investment Funds Alternative Minimum Tax Anti-Money Laundering Bank Holding Company Benefit Corporations Best Management Practices Bids Biotechnology Burden of Proof CalPERS Cease and Desist Orders CFOs Closely Held Businesses Code of Conduct Commercial Bankruptcy Commercial Companies Law Confidentiality Contract Interpretation Convertible Debt Corporate Sales Transactions Cyber Attacks Department of Business Oversight Disqualification Duty of Loyalty Exit Strategies Financial Adviser Finders First Amendment Forum France FSOC Goodyear Identity Theft Illegal Tipping Indemnification Clauses Inspection Rights International Tax Issues Investment Portfolios Iran Sanctions Item 402 JPMorgan Chase Liquidation Look-Back Measurement Period Master Limited Partnerships MFW MiFID Misleading Statements Municipal Advisers New Amendments Non-Disclosure Agreement OECD Offering Statements OSC OTC Parent Corporation Pending Legislation Pension Funds Pharmaceutical Poison Pill Premerger Notifications Public Interest Ralph Lauren Real Estate Investments Regulatory Standards Resource Extraction Ring-Fencing Risk Mitigation Sale of Assets Share Buybacks Shareholder Demands Spinoffs Stock Issuance Stress Tests Strict Liability Summary Judgment Supreme Court of Canada Takeover Bids Twitter US v Newman Whole Foods 401k Accounting Controls Administrative Hearings Allianz ASIC Asset Valuations Asset-Backed Securities Bank of America Bank Secrecy Act Benchmarks Benefit Plan Sponsors Bonds British Columbia Securities Commission Broken Windows Business Taxes Buyouts Capital Raising CD&A CEA Civil Monetary Penalty CME Compensation & Benefits Complex Corporate Transactions Consultation Corporate Conversions Corporate Management Corporate Records Country of Origin CPOs CTA Cyber Insurance Data Breach Debt Financing Debt Securities Deferred Prosecution Agreements Delisting Dilution Dissenters Rights DOL DSIO Duty of Care EMIR Equity Markets FCMs Federal Rule 12(b)(6) Financial Regulatory Reform Financial Services Authority Foreign Nationals Fraud-on-the-Market Freeze-Out Mergers Incorporation India Information Reports Injunctions Insurers Interlocking Directorate Internal Reporting Kickstarter Legal Perspectives Lenders Liability Insurance Listing Rules Manufacturers Market Participants Material Disclosures Medical Devices Monsanto Mortgages MSRB NASAA NAV Non-GAAP Financial Measures OCC Oil & Gas Ordinary Business Exception Oversight Committee Private Letter Rulings Prudential Regulation Authority Qualified Institutional Buyers Ratification Receivership Reed Hastings Remuneration Reorganizations Retroactive Application RMBS Rule 506 SBA Section 220 Request Security-Based Swaps SFC Shareholder Resolution SIFMA Spain Standstill Agreements Stock Repurchases Stock Trades Strategic Planning Tax Treaty Technology Sector Trinity Wall Street UK Bribery Act Vesting Visas Wells Notice Whistleblower Hotlines 16(b) Accounting Accounting Standards Activist Hedge Funds AIF AIFS Anti-Retaliation Provisions Apple Assignments ASX Listing Rules Bank of England Bar Associations Basel Committee Basel III Benchmarking Bernie Madoff BlackRock Bonuses Business Companies Act Buyback Programs Capital Contributions Capital Requirements Cayman Islands CCO Central Bank of Ireland Certificates of Incorporation Chapter 11 Collateral Estoppel Collateralized Debt Obligations Commercial Paper Commodities Commodities Exchange Act Companies Act Compelled Speech Corp Fin Corporate Entities Corporate Financing Corporate Restructuring Corporate Social Responsibility Cost-Sharing Credit Agreements CSRC Cutler v Franchise Tax Board Damages Debtors Default Defective Corporate Acts Deferred Compensation Democratic Republic of Congo Department of Corporations Distribution Rules Division of Economic and Risk Analysis (DERA) Division of Investment Management Don't Ask - Don't Waive Double Derivative Claims Earn-Outs Earnings Reports Economic Development EEOC EGCs Electronic Trading Employee Shareholders Employee Stock Purchase Plans Equity Investors ESOP Established Business Relationship ETFs European Merger Control Regulation Extraterritoriality Rules Fannie Mae Federal Contractors Federal Register Fee Disclosure FHFA Fiduciaries Finance Lenders Financial Restatements Fiscal Cliff Foreign Issuers Form 10-Q Form D Filing Forum Selection Freddie Mac FSB Fund Sponsors Fundraisers Futures Gabelli v SEC General Partnerships Healthcare High Frequency Trading Hiring & Firing Hong Kong Securities and Futures Commission (HKSFC) Incentives Independent Directors Information Sharing Injunctive Relief Interested Parties International Labor Laws International Trade Agreements Interstate Commerce Investment Banks Investment Corporations Investor Advisory Committee IPO Sponsors Ireland ISDA Joint Policy Statements Kickbacks Legal Entity Identifiers Lehman Brothers Liquidity Litigation Strategies Lock-Up Requirements London Stock Exchange Management Fees Mexico Motion To Stay Municipal Bonds Neither Admit Nor Deny Settlements Net Operating Losses NLRB Nonbank Firms Offshore Funds Offshore Listings Opt-Outs Partnership Interests Personal Jurisdiction Pharmacies Policies and Procedures Policy Management Policy Violations Portfolio Managers Pre-Merger Filing Requirements Private Securities Litigation Reform Act of 1995 Product Labels Profits Interests PSLRA Public Benefit Corporation Quorum Rating Agencies RAUM Regulation M Regulation S Regulatory Agencies Required Documentation Required Forms Residency Requirements Retroactive Taxes Reverse Triangular Mergers Russia SAR SEC Commissioner Securitization Self-Dealing Self-Reporting Series A Series B Severance Agreements Shadow Banking Share Capital Shareholder Distributions Short Sales Short-Term Investments Silicon Valley Social Media Policy Statement of Facts Stockholder Agreements Stockholders' Meetings Subprime Mortgages Succession Planning Successors Surveys Tax Liability Tax Planning Tax Reform Trusts Unregistered Brokers Upjohn Warnings Virtual Currency Voluntary Disclosure Wage and Hour Wall Street Waste Webinars Websites Abuse of Discretion Acquisition Agreements Affiliates Affirmative Defenses Africa Alibaba American Rule Amgen Inc. v Connecticut Retirement Plans Appointments Clause Arbitrage Asia Auction Australian Stock Exchange Avon Balance Sheets Ballots Barack Obama Bear Sterns BIS Bitcoin Board of Trustees Bureau of Economic Analysis Business Assets Business Corporation Act Business Income Buy-Sell Agreements CAFA Capitalization Captive Insurance Company CBCA CCPs CD&I Celera CFPOA CII CIMA Citizens United Class Representatives Clean Tech Coca Cola Commerce Clause Commercial End-User Exception Commercial Insurance Policies Commercial Real Estate Market Committee Meetings Companies Ordinance Competition Complex Financial Products Compliance Commitees Congressional Investigations & Hearings Consent Consent Order Consideration Contract Disputes Convertible Bonds Cooperation Initiative Corporate Bonds Corporate Fraud Corporate Gifts Corporate Liability Corporate Securities Act Corporate Tax Rates Counterparties Countrywide Covenant of Good Faith and Fair Dealing Covered Funds Credit Default Swaps Credit Ratings Criminal Investigations Custody Rule Dark Pool DDPs Dealers Debentures Debt Debt Restructuring Declaratory Judgments Demurrers Digital Securities Disclaimers Discovery Discovery Rule Discrimination Dissident Shareholders Divorce Document Requests Documentation DOMA Double Taxation Dow Jones DuPont Duties & Responsibilities Duty to Disclose EB-5 EBA eBay EEA Electronic Filing Email Emerging Markets Employees End-Users Energy Sector Environmental Policies Ernst & Young Examination Priorities Exemptive Orders Failure To Disclose Fair Market Value Fair Valuation False Claims Act False Reporting Falsified Documents FBI Fee Waivers Financial Accounting Standards Board Financial Crisis Financial Institution Liability FinCEN Firearms Forfeiture Form 13F Form N-Cen Form N-PORT Form N-SAR Form S-1 Forum Shopping Forward Contracts Franchise Tax Board Franchise Taxes Frivolous Lawsuits Fund-raising FX Swaps GAAR General Motors Germany Greece Greenmail GRId System Hackers Halliburton Halliburton v Erica P. John Fund Heinz HKEx HMRC Hotlines Human Resources Professionals Human Trafficking IASB Incentive Based Contracts Independent Counsel Indictments Insurance Brokers Insurance Industry Insurance Litigation Interlocutory Appeals Internal Affairs Doctrine International Arbitration Investment Advisory Agreements Investment Firms Job Creation Judge Rakoff Judicial Review Kellogg Brown & Root Legal Fees Legislative Committees Leveraged Buyout Libor Licensing Rules Liquidity Fees Loss Causation Loss Contingencies Magyar Telekom Majority Voting Policies Managers Mandatory Arbitration Clauses Material Adverse Effects Materiality Media Members Membership Interest Memorandum of Understanding Microsoft Midland Funding MiFID II Military Service Members Minerals MOFCOM Money Laundering