Securities Business Organization

SEC Disclosure Requirements Enforcement Actions Dodd-Frank Shareholders Corporate Governance Board of Directors EU Executive Compensation JOBS Act Popular UK Publicly-Traded Companies Compliance Corporate Counsel Fiduciary Duty Startups Crowdfunding Insider Trading Canada Emerging Growth Companies Investment Adviser FINRA Shareholder Litigation Regulation S-K Securities Exchange Act Reporting Requirements Investors CFTC Proposed Regulation Broker-Dealer FCPA Whistleblowers Mergers DOJ Venture Capital Cybersecurity Initial Public Offerings Investment Funds IRS Class Action Directors Securities Fraud Nasdaq Securities Act of 1933 Acquisitions IPO Proxy Statements Pay Ratio Breach of Duty ISS Shareholder Proposals Securities Small Business SCOTUS Corporate Officers CEOs Proxy Season Private Equity Conflicts of Interest Fixing America’s Surface Transportation Act (FAST Act) Derivative Suit Financial Conduct Authority (FCA) Financial Statements Entrepreneurs NYSE Capital Raising Foreign Investment Regulation D Stocks Bylaws Accredited Investors Capital Formation Capital Markets Regulation A Comment Period Exemptions Final Rules Chief Compliance Officers Derivatives Non-GAAP Financial Measures Private Placements European Securities and Markets Authority (ESMA) Delaware General Corporation Law Proposed Amendments Transparency Sarbanes-Oxley FTC GAAP Proxy Voting Guidelines Public Offerings Say-on-Pay Securities Litigation C&DIs Clawbacks Due Diligence Shareholder Rights Conflict Mineral Rules Compensation Committee Risk Management Criminal Prosecution Hart-Scott-Rodino Act Audits Business Judgment Rule MiFID II Whistleblower Protection Policies Fraud Limited Liability Company (LLC) UK Brexit Filing Requirements Financial Reporting Pay-for-Performance Banking Sector China Registration Requirement Shareholder Activism Internal Controls OCIE Asset Management Settlement Books & Records Whistleblower Awards Investment Advisers Act of 1940 PCAOB Appeals Corporate Taxes Mary Jo White Controlling Stockholders Form 10-K Shareholder Votes Corporations Code New Guidance No-Action Letters Amended Regulation Proxy Access Financial Institutions General Solicitation Institutional Investors Investment Companies No-Action Relief Registration Statement Hedge Funds Listing Standards Trump Administration Hong Kong Investment Company Act of 1940 Canadian Securities Administration ERISA Mutual Funds Funding Portal Incentive Compensation Personal Benefit Audit Committee Australia Threshold Requirements Internal Revenue Code (IRC) Corporate Issuers EDGAR Federal Reserve Dismissals Bribery Disgorgement European Commission Misrepresentation Offering Fraud U.S. Treasury Annual Reports Equity Financing Personal Liability REIT Minority Shareholders Shareholder Approval US v Salman Young Lawyers Auditors Investment Management Life Sciences Oil & Gas Recordkeeping Requirements Anti-Money Laundering Foreign Private Issuers Offerings Prospectus Proxy Access Rule Safe Harbors Swap Dealers Rule 506 Offerings Stock Options Swaps AIFMD Equity Compensation Financial Services Industry New Regulations Private Equity Funds Public Disclosure Resource Extraction Total Shareholder Return (TSR) US v Newman Confidentiality Agreements Cross-Border Transactions DE Supreme Court Privately Held Corporations UCITS Confidential Information DOL Early Stage Companies Enforcement Fund Managers Hong Kong Securities and Futures Commission (HKSFC) Internal Investigations Subsidiaries Technology Sector Disclosure Dividends FinTech Banks Corporate Financing ETFs Fee-Shifting Form 8-K Illegal Tipping Partnerships Foreign Corporations Pharmaceutical Industry Severance Agreements XBRL Filing Requirements Anti-Corruption Beneficial Owner Dirks v SEC Glass Lewis Liquidity Merger Agreements Ontario Securities Commission (OSC) Valuation Capital Gains Forum Selection Income Taxes Material Nonpublic Information Risk Assessment Going-Private Transactions IFRS Jurisdiction Voting Rights EU Market Abuse Regulation (EU MAR) New Legislation Proxy Advisors Public Comment Singapore Small Offering Exemptions Annual Meeting Debt Securities Germany Misappropriation Motion to Dismiss D&O Insurance FDIC Form ADV Proposed Legislation Shareholder Meetings Underwriting Pleading Standards Private Offerings Administrative Proceedings Commercial Bankruptcy Diversity EBITDA False Statements Registered Investment Advisors Regulatory Agenda Rule 144A Rule 147 Sanctions Standard of Review Business Valuations Disclosure-Based Settlements Financing Investor Protection Limited Partnerships Price Manipulation Corporate Social Responsibility EMIR Ethics Government Investigations Qualified Small Business Stock Retaliation Rule 14a-8 Scienter Volcker Rule Advertising Blockchain Corporate Culture FinCEN Form SD Hedging IOSCO Market Abuse Person of Significant Control (PSC Register) Size of Persons Test Wal-Mart Business Development Companies C-Suite Executives Financial Markets Material Misstatements Regulation Technical Standards (RTS) Size of Transaction Test Social Media Tender Offers Aiding and Abetting Bonds OCC Pending Legislation Rule 21F Security-Based Swaps Yates Memorandum Cease and Desist Orders Closely Held Businesses Commodities Cooperation Corp Fin Demand Futility Financial Adviser Foreign Issuers Penalties Private Funds Real Estate Investments Registration Regulation S-X SEC Examination Priorities Stress Tests Appraisal Fiduciary Rule Italy Major Swap Participants Margin Requirements OECD Pensions Statute of Limitations Bitcoin CFPB Family Businesses FASB ISDA Omnicare v Laborers District Council Preemption Prudential Regulation Authority Regulatory Standards Seed Financing Spoofing Anti-Retaliation Provisions Attorney-Client Privilege Consultation Deferred Prosecution Agreements Energy Sector France KBR (formerly Kellogg Brown & Root) Related Parties Russia Section 11 Blue Sky Laws Capital Requirements Central Counterparties Director Compensation FCMs Filing Deadlines Market Manipulation Proxy Materials Putative Class Actions Rule 10b-5 Smaller Reporting Companies Spinoffs Standing Strategic Enforcement Plan Tax Deductions Toronto Stock Exchange Unregistered Brokers White Collar Crimes Accounting Standards Algorithmic Trading Attorney's Fees CFOs Class Certification Common Stock Corporate Misconduct Equity Securities Failure To Disclose Foreign Direct Investment Funding Hyperlink Insolvency Liquidity Risk Management Rule Listing Rules Money Market Funds Proxy Contests Section 162(m) Securities Violations Takeover Bids Target Company The Clayton Act Acquisition Agreements Bad Faith Brokers CDIs Data Breach Employer Liability Issues Filing Fees FSOC Incentive Stock Options JPMorgan Chase Liquidation Municipal Bonds NFA Omnicare Political Contributions Remuneration S-Corporation Supply Chain Vesting Angel Investors Biotechnology Business Formation Capital Markets Union Civil Monetary Penalty Corruption Duty of Loyalty Equity Plans EU Directive Examination Priorities Fairness Standard Hong Kong Stock Exchange Insurance Industry Market Participants Notice Requirements Retirement Plan Securitization SEFs Trulia Yahoo! Appraisal Rights Bank Holding Company Corporate Bonds Custody Rule Cyber Attacks Director Nominations EB-5 EEA Emerging Technology Companies Employment Contract Financial Crisis First Amendment Misleading Statements MSRB Saudi Arabia SEC Advisory Committee Securities Act Shareholders' Agreements Tippees Universal Proxy Cards Voluntary Disclosure AIFM ALJ C-Corporation Climate Change Debt Restructuring Derivatives Clearing Organizations Employee Stock Purchase Plans Financial Services Committee Form S-1 Golden Leash Arrangements Holding Companies MiFIR Municipal Securities Issuers NASAA Registered Investment Companies (RICs) Self-Reporting Silicon Valley Stock Exchange Venture Funding Amended Legislation Benchmarks Convertible Debt Corporate Executives Department of Business Oversight Employee Benefits Equity Markets Financial Sector Foreign Exchanges Hostile Takeover Investment Japan Joint Venture London Stock Exchange Mining Multinationals Pay-To-Play Restricted Stocks Risk Alert Schedule 13D SMEs Trustees Withholding Tax Administrative Hearings Alternative Investment Funds Buyouts Complex Corporate Transactions Creditors Data Protection Debt Entire Fairness Standard Futures Guidance Update Independence Rules Information Reports Innovation Interlocking Directorate Internal Reporting Median Employee Member State Pre-Merger Filing Requirements Preferred Shares Rating Agencies Regulation FD Sale of Assets Secondary Markets Section 409A Share Classes Statement of Opinion Stock Drop Litigation Strategic Planning Tier 2 Offerings Administrative Procedure Act Bank Secrecy Act Breach of Contract Choice of Entity Dark Pool Deferred Compensation Deregulation Economic Development Electronic Filing Enforcement Statistics Exchange-Traded Products Exculpatory Clauses Facebook Fees Fines Foreign Subsidiaries Indemnification Interim Rule Investment Banks Legislative Agendas Lehman Brothers Limited Liability Partnerships Merrill Lynch Pension Funds Premerger Notifications Protecting Americans from Tax Hikes (PATH) Act Renewable Energy Ring-Fencing Risk Mitigation Rulemaking Process Shareholder Distributions Summary Judgment Unregistered Securities Whole Foods Activist Hedge Funds Annual Filings Arbitration Bad Actors BaFin BSA/AML Burden of Proof Business Corporation Act Business Development CalPERS CME Commodities Exchange Act Commodity Pool Contract Drafting Contract Terms Corporate Dissolution CPOs Cross-Border CTA Deutsche Bank Financial Regulatory Reform Finders Foreign Banks Goldman Sachs Hiring & Firing Independent Director Individual Accountability Inspection Rights Luxembourg National Futures Association Ordinary Business Exception OTC Ponzi Scheme Preliminary Injunctions Regulation AT Regulatory Reform Representations and Warranties Retail Investors Rule 504 Structured Financial Products Ukraine Written Consent Anti-Bribery Bankruptcy Code Barclays Basel Committee Block Trades BRRD Business Continuity Plans Change in Control CMBS CPO Debt Financing Fair Market Value FDA Foreign Affiliates Golden Parachutes Independent Boards Interest Rates Joint Stock Companies Kickstarter Lenders Marketing Memorandum of Understanding MiFID Omissions Reversal RMBS Rule 10D-1 Securities Exchanges Stock Purchase Agreement Surveys Suspicious Activity Reports (SARs) Tax Exemptions Tax Liability Tax Reform TRACE Wages Waivers Alberta Securities Commission Articles of Incorporation Asia Basel III BlackRock Brazil Corporate Charters Corporate Liability Damages Data Security DCMs Defense Strategies Dilution Distribution Rules Duty of Care ESOP Excessive Fees Foreign Official Fraud-on-the-Market FSMA Gain Exclusion Independent Directors Mexico Money Laundering New Amendments Non-Prosecution Agreements Permanent Injunctions Professional Liability Proposed Rules PSLRA Regulation C Revlon Standard Securities Settlement Cycles Supreme Court of Canada Swing Pricing Termination Tippers TSX Venture Exchange UAE Virtual Currency 401k Accounting Fraud Administrative Appointments Appointments Clause ASIC Benefit Plan Sponsors Capital Acquisition Broker (CAB) CFIUS Companies Act European Banking Authority Exit Strategies False Claims Act (FCA) General Corporation Law Health Net High Frequency Trading HKEx ICFR India Investor Advisory Committee Loans Manufacturers Materiality Monetary Authority of Singapore Morgan Stanley Multidistrict Litigation Municipal Advisers Offering Documents Open-Ended Fund Companies (OFCs) Parent Corporation Policies and Procedures Position Limits Private Equity Firms Private Investment Funds Private Letter Rulings Regulation NMS Resale Exemption Robo-Advisors Section 10D Section 220 Request Serious Fraud Office Settlement Agreements Share Buybacks Stock Ownership Sun Capital Partners Sustainability Term Sheets Third-Party Affiliates AIM Asset-Backed Securities Benchmarking Chapter 11 Citigroup Collateralized Debt Obligations Controlled Foreign Corporations CRD IV Directive Discovery Disruptive Trading Practices Economic Sanctions Equity Investors FCPA Resource Guide Financial Restatements Form N-PORT FSB GAO Good Faith Guilty Pleas Halliburton Healthcare Indictments Investigations Investment Portfolios Investment-Only Exemption Joint and Several Liability Judicial Review Majority Voting Policies Management Fees Material Disclosures Moody's NCUA Operating Agreements Pleadings Public Benefit Corporation Regulatory Oversight Required Forms SBA SBIC Sellers Series A Tandy Letter Tax Court Trinity Wall Street UK Bribery Act 10b5-1 Plans Accounting Advisory Committee Alternative Minimum Tax Alternative Trading Systems Apple Attorney Generals Bank of New York (BNY) Mellon Benefit Corporations Business Conduct Standards Business Taxes Buyers Carried Interest CD&I Code of Conduct Congressional Review Act Deadlines Digital Currency Dissenters Rights Dissident Shareholders Electronic Trading Email Enforcement Authority Evidence Family Offices Federal Pilot Programs FHFA Financial Fraud Foreign Entities Foreign Ownership Forex G-SIB Hackers Injunctive Relief Intellectual Property Protection Iran Sanctions Iran Threat Reduction and Syria Human Rights Act Jury Trial Kickbacks Management Proposals Material Misrepresentation Medical Devices Mortgage-Backed Securities NYDFS Ontario Securities Act Overboarding Personal Jurisdiction Personally Identifiable Information Portfolio Managers QuickScore Required Documentation Rule 144 Rule 14a-8(i)(9) Rule 506 SEC Comment Letter Process Section 10(b) Senior Managers Shareholder Demands SIFIs SIFMA Spain Stock Issuance Stock Prices Stock Repurchases Stock Sale Agreements Structured Finance Supervision Supplemental Disclosures Takeovers Tax Planning Technology Title III Transacting Intrastate Business UK Companies Acts Visas Wage and Hour WTO Amended Rules ATP Tours Balance Sheets BEA BlueLinx Holdings Broken Windows Business Assets CEA Cease and Desist Commercial Real Estate Market Congressional Investigations & Hearings Consent Order Corporate Conversions Corporate Crimes Corporate Restructuring Counterparties Credit Default Swaps Credit Suisse Dell Disqualification Double Taxation Duty to Disclose Employee Shareholders Federal Register Foreign Nationals Form 10-Q Form BE-10 Form D Filing Form N-Cen Human Rights Incentives International Tax Issues Ireland ISDA Master Agreement Job Creation Libor Master Limited Partnerships MCDC Multiemployer Plan Municipal Securities Market NASD NAV New Zealand Non-Profits Offering Statements Oil Prices Oxfam America Passive Activity Presidential Elections Professional Conferences Proxy Solicitations Ratification Regulation S Regulatory Agencies Research and Development Risk Retention Rule 506(c) SAR Self-Dealing Selling a Business Senior Managers Insurers Regime (SMIR) Shadow Banking Shareholder Oppression Special Purpose Entities Sukuk Tax Treaty Transfer Pricing Trust Indenture Act Umbrella Registration Unicorns Websites Wire Fraud Administrative Resignation Aggregation Rules AIF American Taxpayer Relief Act AML/CFT Asset Valuations BEPS Best Practices Bids British Columbia Securities Commission Bundling Rules Capital Contributions Central Bank of Ireland Chamber of Commerce Cherry Picking Choice-of-Law Clearing Agencies Commercial Companies Law Commercial Leases Competition Conflicting Proposals Contested Elections Controlled Groups Conversion Corporate Entities Corporate Fraud Corporate Management Corporate Veil Credit Rating Agencies Data Privacy Debt Market Debt-Equity Depository Institutions Distributed Ledger Technology (DLT) Division of Investment Management EFRP Energy Projects Extractive Industry Transparency Rule FATCA FIRPTA Fitch Foreign Currency Form PF Former Directors G20 Gender Equity Halliburton v Erica P. John Fund Health Care Providers HMRC Incorporation Indemnification Clauses Interest Rate Swaps Interested Parties Intermediaries Internal Audit Functions Inversion Investment Fraud Issuer Exemption Leveraged Buyout Licensing Rules Mortgage REITS Netflix OFAC Online Marketplace Lending Outsourcing Packaged Retail And Insurance-Based Investment Products (PRIIPS) Partnership Interests PDMR Performance Incentives Petition for Writ of Certiorari Private Company Shares Project Finance Proxy Put Prudential Standards Public Policy
Feedback? Tell us what you think of the new!