Securities Business Organization

SEC Disclosure Requirements Shareholders Dodd-Frank Board of Directors Enforcement Actions Corporate Governance JOBS Act Executive Compensation EU Publicly-Traded Companies Fiduciary Duty Compliance Crowdfunding Startups Popular UK Emerging Growth Companies Corporate Counsel Investors Proposed Regulation Regulation S-K Shareholder Litigation Investment Adviser Securities Exchange Act Canada FINRA Reporting Requirements CFTC Insider Trading Broker-Dealer Mergers Whistleblowers Directors Nasdaq DOJ FCPA IRS Class Action Proxy Statements Securities Act of 1933 IPO Venture Capital Fixing America’s Surface Transportation Act (FAST Act) Investment Funds Securities Corporate Officers Cybersecurity Breach of Duty CEOs Small Business Initial Public Offerings Securities Fraud ISS Pay Ratio Shareholder Proposals Private Equity Accredited Investors NYSE Comment Period Derivative Suit Capital Formation Financial Statements Stocks Conflicts of Interest Regulation A Acquisitions Derivatives Exemptions Regulation D Capital Raising Private Placements Compensation Committee Bylaws Final Rules Business Judgment Rule Delaware General Corporation Law Entrepreneurs Proxy Season SCOTUS Chief Compliance Officers Clawbacks GAAP Audits Public Offerings Transparency Capital Markets Non-GAAP Financial Measures Sarbanes-Oxley European Securities and Markets Authority (ESMA) Say-on-Pay Controlling Stockholders Foreign Investment FTC Hart-Scott-Rodino Act Pay-for-Performance Registration Requirement General Solicitation PCAOB Banking Sector Financial Conduct Authority (FCA) Risk Management Shareholder Rights Fraud Financial Reporting Shareholder Activism Form 10-K China Mary Jo White Proposed Amendments Due Diligence Listing Standards Proxy Voting Guidelines Financial Institutions Incentive Compensation Books & Records Conflict Mineral Rules Settlement Filing Requirements Hedge Funds Investment Advisers Act of 1940 Shareholder Votes Funding Portal Securities Litigation Appeals Asset Management Corporate Issuers Corporate Taxes Amended Regulation Institutional Investors Whistleblower Awards Whistleblower Protection Policies Equity Financing ERISA Federal Reserve Internal Controls Investment Companies Personal Liability OCIE Rule 506 Offerings Young Lawyers Canadian Securities Administration New Guidance Offerings C&DIs Criminal Prosecution MiFID II Corporations Code European Commission Public Disclosure Swaps Threshold Requirements Total Shareholder Return (TSR) Hong Kong Audit Committee Auditors Internal Revenue Code (IRC) No-Action Letters Registration Statement U.S. Treasury Investment Company Act of 1940 Stock Options Confidentiality Agreements Early Stage Companies Fund Managers Mutual Funds REIT Safe Harbors Swap Dealers Enforcement Fee-Shifting Minority Shareholders No-Action Relief Proxy Access Rule Disgorgement Forum Selection Going-Private Transactions Life Sciences Recordkeeping Requirements Internal Investigations Private Equity Funds Small Offering Exemptions Valuation AIFMD Australia Equity Compensation Income Taxes Misrepresentation New Legislation New Regulations Ontario Securities Commission (OSC) Privately Held Corporations Annual Reports Limited Liability Companies Proxy Access Banks DE Supreme Court UK Brexit Capital Gains Foreign Corporations Oil & Gas Prospectus Bribery Disclosure Dividends EDGAR Private Offerings Subsidiaries Technology Sector Financing Jurisdiction Liquidity Proposed Legislation Risk Assessment Severance Agreements UCITS Aiding and Abetting Public Comment Qualified Small Business Stock Advertising Anti-Money Laundering C-Suite Executives D&O Insurance FDIC Investment Management Partnerships Personal Benefit Pharmaceutical Industry Resource Extraction Shareholder Approval Social Media Debt Securities EBITDA Form 8-K Hong Kong Securities and Futures Commission (HKSFC) Investor Protection Material Misstatements Motion to Dismiss Proxy Advisors Voting Rights Wal-Mart Annual Meeting Registration Sanctions Beneficial Owner Confidential Information Government Investigations Hedging Offering Fraud Pensions Size of Persons Test Standard of Review Business Development Companies Corporate Culture False Statements FinCEN Form ADV Security-Based Swaps Bonds Cease and Desist Orders Corporate Financing Cross-Border Transactions Financial Adviser Private Funds Rule 14a-8 Shareholder Meetings Size of Transaction Test Administrative Proceedings Business Valuations Commercial Bankruptcy Ethics Fairness Standard FASB Glass Lewis Major Swap Participants Preemption Rule 144A Underwriting US v Newman Anti-Corruption Attorney's Fees Blue Sky Laws Disclosure-Based Settlements DOL EU Market Abuse Regulation (EU MAR) Germany KBR (formerly Kellogg Brown & Root) Limited Partnerships LLC Market Abuse OCC Penalties Person of Significant Control (PSC Register) Pleading Standards Registered Investment Advisors Section 11 Singapore Tender Offers Volcker Rule Central Counterparties CFPB Demand Futility Dismissals EMIR ETFs Foreign Issuers Foreign Private Issuers Material Nonpublic Information Misappropriation Notice Requirements Omnicare Omnicare v Laborers District Council Pending Legislation Proxy Materials Retaliation Rule 21F Seed Financing Yates Memorandum Appraisal Brokers CFOs Common Stock Diversity Family Businesses Financial Markets Form SD Funding IFRS IOSCO ISDA Margin Requirements Market Manipulation Merger Agreements Regulation S-X Regulatory Standards Section 162(m) Spinoffs Commodities Cooperation Corporate Social Responsibility Italy Market Participants Political Contributions Regulation Technical Standards (RTS) Regulatory Agenda Related Parties Scienter Target Company Employer Liability Issues Filing Deadlines Filing Fees Financial Crisis Financial Services Industry Price Manipulation Prudential Regulation Authority Rule 147 S-Corporation SEC Examination Priorities Smaller Reporting Companies Standing Strategic Enforcement Plan Stress Tests Tax Deductions Amended Legislation Biotechnology Bitcoin Director Compensation Duty of Loyalty Emerging Technology Companies Equity Securities Foreign Direct Investment Form S-1 FSOC Money Market Funds NFA OECD Preferred Shares Proxy Contests Restricted Stocks Rule 10b-5 Self-Reporting Spoofing Takeover Bids AIFM Algorithmic Trading Angel Investors Attorney-Client Privilege Business Formation C-Corporation Capital Requirements Closely Held Businesses Hong Kong Stock Exchange Hostile Takeover Incentive Stock Options Independence Rules Japan Listing Rules Municipal Bonds Municipal Securities Issuers Regulation FD Shareholders' Agreements Silicon Valley SMEs Statement of Opinion Statute of Limitations Venture Funding Vesting White Collar Crimes XBRL Filing Requirements Appraisal Rights Capital Markets Union Civil Monetary Penalty Class Certification Convertible Debt Entire Fairness Standard Equity Plans EU Directive Exculpatory Clauses Facebook Insolvency Interim Rule JPMorgan Chase Liquidation Misleading Statements MSRB Pre-Merger Filing Requirements Protecting Americans from Tax Hikes (PATH) Act Real Estate Investments Retirement Plan SEC Advisory Committee Section 409A The Clayton Act Toronto Stock Exchange Trustees Yahoo! Accounting Standards Administrative Hearings Annual Filings Arbitration Bad Faith Bank Secrecy Act Blockchain Corp Fin Creditors Data Protection Debt Derivatives Clearing Organizations Dirks v SEC EEA Employee Benefits Equity Markets Examination Priorities FCMs Fees FinTech France Golden Parachutes Inspection Rights Limited Liability Partnerships London Stock Exchange Median Employee Mining Ordinary Business Exception Rating Agencies Russia US v Salman Voluntary Disclosure Whole Foods Alternative Investment Funds Bad Actors Bank Holding Company Business Continuity Plans Business Development CDIs Climate Change Consultation Contract Drafting Corporate Bonds Cyber Attacks Damages Energy Sector Foreign Subsidiaries Golden Leash Arrangements Illegal Tipping Indemnification Independent Boards Internal Reporting Investment Banks Kickstarter OTC Pension Funds Ring-Fencing Risk Mitigation Rule 10D-1 Schedule 13D Secondary Markets Securitization SEFs Strategic Planning Summary Judgment Unregistered Brokers Wages Waivers Acquisition Agreements ALJ Benchmarks CalPERS Change in Control Corporate Charters CPO Deferred Prosecution Agreements EB-5 Employment Contract Exchange-Traded Products Financial Sector Financial Services Committee Fines First Amendment Foreign Exchanges Innovation Joint Venture Legislative Agendas National Futures Association Permanent Injunctions Ponzi Scheme Professional Liability Regulation C Revlon Standard Rulemaking Process Securities Act Virtual Currency Activist Hedge Funds Anti-Retaliation Provisions Breach of Contract Buyouts Commodities Exchange Act Commodity Pool Corporate Executives Cross-Border Debt Restructuring Dilution Duty of Care Finders Foreign Affiliates Foreign Banks Gain Exclusion Goldman Sachs HKEx Independent Director Insurance Industry Investment Lehman Brothers Lenders Material Disclosures MiFID Multinationals Pay-To-Play Premerger Notifications RMBS Sale of Assets Section 10D Surveys Tier 2 Offerings Trulia UAE Withholding Tax Written Consent Accounting Fraud Administrative Procedure Act Affiliates Bankruptcy Code Basel Committee Basel III BRRD Burden of Proof Choice of Entity Citigroup CMBS Corporate Misconduct CTA Dark Pool Data Breach Debt Financing Deferred Compensation Employee Stock Purchase Plans ESOP Exit Strategies FCPA Resource Guide GAO Good Faith Health Net Holding Companies Individual Accountability Information Reports Investment Portfolios Investor Advisory Committee Iran Threat Reduction and Syria Human Rights Act Judicial Review Luxembourg Municipal Advisers NASAA NCUA Non-Prosecution Agreements Offering Documents Pleadings Regulation NMS Renewable Energy Resale Exemption Shareholder Demands Shareholder Distributions Stock Drop Litigation Stock Exchange Stock Ownership Sun Capital Partners Supplemental Disclosures Supply Chain Termination Third-Party Trinity Wall Street 10b5-1 Plans Accounting Alberta Securities Commission Articles of Incorporation ASIC CME Controlled Foreign Corporations Custody Rule Deadlines Defense Strategies Department of Business Oversight Discovery Distribution Rules Fair Market Value FHFA Financial Regulatory Reform Foreign Official Fraud-on-the-Market FSB Futures Guidance Update Healthcare High Frequency Trading Injunctive Relief Interest Rates Interlocking Directorate Investigations Investment-Only Exemption Iran Sanctions Joint and Several Liability Leveraged Buyout Liquidity Risk Management Rule Loans Management Proposals Manufacturers Marketing Merrill Lynch MiFIR Money Laundering Multidistrict Litigation Ontario Securities Act Preliminary Injunctions Public Benefit Corporation Remuneration Required Documentation Risk Alert Rule 506 Saudi Arabia SBIC Series A Settlement Agreements Stock Purchase Agreement Supervision Supreme Court of Canada Tax Liability Technology UK Bribery Act UK Companies Acts 401k AIM Alternative Minimum Tax Anti-Bribery Apple Asia Asset Valuations BaFin Balance Sheets Barclays BEA Bids Block Trades Business Taxes Chapter 11 Corporate Conversions Corporate Dissolution Corporate Liability Corporate Management Credit Default Swaps Deutsche Bank Director Nominations Economic Development Equity Investors Excessive Fees Failure To Disclose Foreign Nationals Form BE-10 FSMA Halliburton Hiring & Firing India Indictments Management Fees Materiality MCDC Member State Municipal Securities Market Netflix New Amendments Offering Statements Omissions Portfolio Managers Private Equity Firms Private Investment Funds Private Letter Rulings Proxy Put Proxy Solicitations QuickScore Ratification Registered Investment Companies (RICs) Representations and Warranties Retail Investors Rule 14a-8(i)(9) SAR SBA Securities Exchanges Securities Violations Self-Dealing Share Buybacks Share Classes Stock Issuance Tax Court Tax Exemptions Title III Wage and Hour Wells Notice Zillow American Taxpayer Relief Act Asset-Backed Securities ATP Tours Benefit Corporations BlackRock Broken Windows BSA/AML Bundling Rules CEA Collateralized Debt Obligations Commercial Companies Law Companies Act Complex Corporate Transactions Conflicting Proposals Congressional Investigations & Hearings Contract Terms Corporate Entities Corporate Sales Transactions Corruption Counterparties CPOs Data Security DCMs Disruptive Trading Practices Dissenters Rights Duty to Disclose Electronic Filing Emerging Markets Exclusive Jurisdiction Extractive Industry Transparency Rule Family Offices FDA Federal Jurisdiction Federal Register Federal Rule 12(b)(6) FIRPTA Foreign Entities Form D Filing Former Directors Gender Equity Hackers Incorporation Indemnification Clauses Injunctions Internal Audit Functions Kickbacks Memorandum of Understanding Merrill Lynch v Manning Mexico Monetary Authority of Singapore Monsanto Moody's Mortgage-Backed Securities Multiemployer Plan NASD NAV Overboarding Oxfam America Performance Incentives Personally Identifiable Information Policies and Procedures Position Limits Prudential Standards Public Policy Putative Class Actions Regulation G Regulatory Oversight Rule 506(c) Section 10(b) Section 220 Request Senior Managers Senior Managers Insurers Regime (SMIR) Serious Fraud Office Settlements SIFIs SIFMA Special Purpose Entities Stock Prices Stock Sale Agreements Structured Finance Structured Financial Products Succession Planning Sukuk Suspicious Activity Reports Sustainability Takeover Agreement Term Sheets Tippees TSX Venture Exchange Unicorns Unregistered Securities 28 USC 1331 Accounting Controls Alternative Trading Systems Amgen AML-CTF Appointments Clause Attorney Generals Bank of America Bank of New York (BNY) Mellon Benchmarking Benefit Plan Sponsors BEPS Best Practices BIS Business Corporation Act Capital Acquisition Broker (CAB) Capital Contributions Capitalization CD&I Chamber of Commerce Code of Conduct Commercial Leases Compensation & Benefits Compensation Consultant Competition Contract Interpretation Controlled Groups Conversion Corporate Crimes Corporate Fraud Delisting Dell Depository Institutions Disqualification Dole Food Earnings Reports Economic Sanctions Electronic Trading Email Enforcement Authority Enforcement Statistics Equity Research Rule Estate Planning Exceptions Extraterritoriality Rules False Claims Act (FCA) FATCA Financial Restatements Fitch Foreign Currency Foreign Ownership Forfeiture Greece Guilty Pleas Incentives Independent Directors Intermediaries International Tax Issues Issuer Exemption Item 402 Joint Policy Statements Joint Stock Companies Leverage Ratio Leveraged Loans Liability Insurance Libor Non-Disclosure Agreement OFAC Oil Prices Outsourcing Parent Corporation PDMR Petition for Writ of Certiorari Poison Pill Principal Place of Business Project Finance Proxies Pump and Dump RAISE Act Ralph Lauren Recapitalization Regulatory Agencies Research and Development Reversal Right of FIrst Refusal Rule 18f-4 S&P SEHK Sellers Selling a Business Shadow Banking Shanghai Stock Exchange Shell Corporations Short-Form Mergers Small Business Enterprise and Employment Act Social Media Policy Spain Stock Repurchases Swap Clearing Takeovers Tax Credits Tax Incentives Tax Planning Tax Treaty TRACE Trusts Twitter UK Insolvency Act Ukraine Umbrella Registration Uncleared Swaps Vanguard Wall Street Websites Withdrawal Liability WTO Administrative Interpretation Africa Aggregation Rules AIF Analytics Anti-Inversion Regulations Associated Persons Banking Examinations Best Management Practices Borrowers Brazil British Columbia Securities Commission Business Assets Carried Interest CD&A Cease and Desist Certificates of Incorporation Choice-of-Law Companies Law Corporate Records Corporate Veil Country of Origin Countrywide Covered Funds Criminal Conspiracy Cyber Insurance DBRS Debt Market Debtors Digital Currency Diversity Jurisdiction Division of Investment Management Double Taxation EFRP Energy Projects Exclusions Exxon Mobil Federal Pilot Programs FIfth Third Bancorp v Dudenhoeffer Form 10-Q Forum Shopping Fraudulent Transfers Freeze-Out Mergers Fundraisers G-SIB G20 General Corporation Law