Securities Business Organization

SEC Shareholders Dodd-Frank Disclosure Requirements Board of Directors JOBS Act Compliance Executive Compensation Corporate Governance Enforcement Actions Fiduciary Duty Crowdfunding Directors IPO Compensation Committee Shareholder Litigation Startups FCPA Whistleblowers Nasdaq Publicly-Traded Companies Say-on-Pay Proxy Statements NYSE Securities ISS CFTC Emerging Growth Companies Investors Stocks DOJ General Solicitation CEOs Reporting Requirements Investment Adviser Corporate Counsel Insider Trading Securities Exchange Act Class Action Pay Ratio Public Offerings EU Regulation S-K Securities Act of 1933 Derivative Suit Chief Compliance Officers IRS Listing Standards FINRA Regulation A Accredited Investors Small Business Audits Business Judgment Rule Bylaws Conflicts of Interest Enforcement Mergers Issuers Proxy Season Regulation D Securities Fraud Fraud Internal Investigations Transparency FTC Pay-for-Performance Private Equity Private Placements Shareholder Rights Canada Proxy Voting Guidelines Confidentiality Agreements Settlement Broker-Dealer Controlling Stockholders Hart-Scott-Rodino Act Popular SCOTUS Venture Capital Delaware General Corporation Law Proposed Regulation Rule 506 Offerings Shareholder Proposals Threshhold Requirements Whistleblower Protection Policies Risk Management Small Offering Exemptions Acquisitions Corporate Officers Cybersecurity Exemptions Hedge Funds Sarbanes-Oxley Advertising Investment Funds Social Media KBR (formerly Kellogg Brown & Root) Minority Shareholders Shareholder Activism Shareholder Votes Breach of Duty Conflict Mineral Rules Stock Options Swaps Corporate Taxes Foreign Investment Funding Officers Registration Annual Meeting Books & Records Bribery China Entrepreneurs Final Rules Public Disclosure Derivatives Forum Selection Clause Going-Private Transactions Hedging Income Taxes ERISA Filing Requirements Financial Statements Independence Rules Private Offerings Proposed Amendments Annual Reports C-Suite Executives Foreign Corporations Internal Controls Rule 144A Section 11 Swap Dealers UK Banks Capital Formation Fee-Shifting Form 10-K Mary Jo White New Legislation Omnicare Omnicare v Laborers District Council Proxy Advisors Qualified Small Business Stock Capital Gains ESMA LLC No-Action Letters Registration Statement Regulation FD Section 162(m) Tax Deductions Appeals Corporations Code D&O Insurance Due Diligence Equity Financing Liability Material Misstatements Misrepresentation Penalties Pensions Safe Harbors Subsidiaries Valuation Wages Amended Regulation Annual Filings Brokers Equity Compensation Facebook Golden Parachutes Investment Company Act of 1940 Proxy Materials Strategic Enforcement Plan Total Shareholder Return (TSR) AIFMD Bad Actors Business Development Data Protection Disclosure Employer Liability Issues Ethics European Commission Federal Reserve Financing Jurisdiction Major Swap Participants New Regulations PCAOB Preferred Shares Private Funds Retaliation Risk Assessment Wal-Mart Business Formation Canadian Securities Administration Common Stock CPO Dividends Employee Benefits Equity Plans Foreign Subsidiaries GAAP Iran Threat Reduction and Syria Human Rights Act IRC Limited Liability Companies Notice Requirements Ponzi Scheme Proxy Access Rule Rule 10b-5 Shareholder Meetings Size of Persons Test Size of Transaction Test Statement of Opinion Tender Offers Trustees 10b5-1 Plans Anti-Corruption Appraisal Asset Management Commodity Pool Criminal Prosecution Foreign Banks Hostile Takeover Investigations Life Sciences Money Market Funds Netflix New Guidance No-Action Relief Political Contributions Professional Liability Proposed Legislation Rule 21F Standard of Review The Clayton Act Waivers American Taxpayer Relief Act Attorney-Client Privilege BVI Business Companies Corporate Culture Cross-Border Transactions Family Offices FCPA Resource Guide Fee-Shifting Statutes Form 8-K Funding Portal Gain Exclusion Hong Kong Investment Advisers Act of 1940 Marketing Motion to Dismiss Mutual Funds OCIE Personal Liability Private Equity Funds Proxy Contests Proxy Solicitations QuickScore Recordkeeping Requirements Shareholders' Agreements Standing Third-Party Underwriting Venture Funding Whistleblower Awards Aiding and Abetting Attorney's Fees C-Corporation Capital Markets Class Certification Clawbacks Compensation Consultant Contract Drafting Corporate Issuers EDGAR FCA Fees Filing Fees Fines Foreign Exchanges Fund Managers Internal Revenue Code Investment Management Merger Agreements Misappropriation Multidistrict Litigation NFA Ontario Securities Commission Private Investment Funds Privately Held Corporations Registration Requirement REIT Restricted Stocks Sanctions Scienter Section 409A Securities Litigation Seed Financing SEHK Statute of Limitations Technology White Collar Crimes Written Consent AIFM Angel Investors Arbitration ATP Tours Auditors Bank Holding Company Benefit Corporations Bids Bundling Rules Business Development Companies CFPB Choice of Entity Compensation & Benefits Confidential Information Corporate Charters Corporate Sales Transactions Cross-Border Cyber Attacks Deadlines Demand Futility Equity Securities Events Filing Deadlines Financial Institutions Financial Reporting Forum Glass Lewis Good Faith Goodyear Identity Theft Indemnification Internal Audit Functions Iran Sanctions Legislative Agendas Limited Partnerships MFW Non-Disclosure Agreement Non-Prosecution Agreements Offerings Partnerships Pharmaceutical Pharmaceutical Manufacturers Premerger Notifications Prospectus Ralph Lauren Resource Extraction Retirement Plan S-Corporation Sale of Assets Termination Twitter U.S. Treasury UAE Volcker Rule 401k Allianz Alternative Minimum Tax Amended Legislation Anti-Money Laundering Articles of Incorporation Asset Valuations Australia Breach of Contract British Columbia Securities Commission Broken Windows Buyouts CEA CFOs Code of Conduct Confidentiality Convertible Debt Corporate Dissolution Corporate Records CTA Deferred Prosecution Agreements Department of Business Oversight Dilution Disgorgement Disqualification Dissenters Rights Employment Contract FDIC Federal Rule 12(b)(6) Financial Adviser Financial Services Authority France Insolvency Insurers Interlocking Directorate International Tax Issues Japan Liability Insurance Manufacturers Master Limited Partnerships Material Nonpublic Information Mining Misleading Statements Mortgages OSC OTC Oversight Committee Pleadings Preliminary Injunctions Proxies Qualified Institutional Buyers Receivership Reed Hastings Remuneration Retroactive Application Risk Mitigation Schedule 13D SEC Advisory Committee Share Buybacks Shareholder Resolution Standstill Agreements Stock Repurchases Summary Judgment Takeover Agreement Target Company UK Bribery Act Vesting Voting Rights Wells Notice 16(b) Accounting Controls Administrative Procedure Act Alternative Investment Funds Anti-Bribery Apple Asset-Backed Securities Assignments ASX Listing Rules Bad Faith Bank of America Bank Secrecy Act Bar Associations Beneficial Owner Bernie Madoff Biotechnology Blue Sky Laws Bonuses Business Taxes Business Valuations Buyback Programs CalPERS Citigroup Civil Monetary Penalty Clawback Agreements CME Collateralized Debt Obligations Commercial Bankruptcy Commercial Companies Law Commercial Paper Commodities Contract Interpretation Corporate Conversions Corporate Management Cutler v Franchise Tax Board Cyber Insurance Data Breach Debtors Deferred Compensation Department of Corporations Director Compensation Dismissals Diversity DOL Don't Ask - Don't Waive Double Derivative Claims DSIO Duty of Care Duty of Loyalty Economic Development EEOC Employee Stock Purchase Plans ESOP ETFs European Merger Control Regulation Exit Strategies Extraterritoriality Rules Family Businesses FCMs Fiduciary Liability Financial Conduct Authority Financial Regulatory Reform Fiscal Cliff Foreign Nationals Foreign Official Form D Filing Fraud-on-the-Market Fundraisers Gabelli v SEC Goldman Sachs Hong Kong Stock Exchange Illegal Tipping Incentive Stock Options Incorporation Independent Boards Information Sharing Inspection Rights International Labor Laws Interstate Commerce Investment Companies Investment Portfolios IOSCO Joint Venture JPMorgan Chase Legal Perspectives Lenders Liquidation Litigation Strategies Lock-Up Requirements Material Disclosures Medical Devices Mexico MiFID Municipal Advisers NASAA Neither Admit Nor Deny Settlements New Amendments NLRB Nonbank Firms OCC OECD Offshore Funds Offshore Listings Performance Incentives Pharmacies Poison Pill Pre-Merger Filing Requirements Preemption Regulation M Regulatory Agenda Required Documentation Retroactive Taxes Revlon Standard Rule 14a-8 Rule 506(c) Rulemaking Process Russia SBA Secondary Markets Section 220 Request Severance Agreements SFC Short Sales SIFMA Social Media Policy Spinoffs Statement of Facts Stock Trades Strict Liability Subprime Mortgages Successors Tax Court Tax Liability Tax Planning Tax Reform Tax Treaty Trinity Wall Street Upjohn Warnings Visas Wall Street Waste Whistleblower Hotlines Whole Foods XBRL Filing Requirements Abuse of Discretion Acquisition Agreements Activist Hedge Funds Administrative Hearings Affiliates Africa AIFS ALJ Amgen Inc. v Connecticut Retirement Plans AMU Anti-Retaliation Provisions Ballots Bank of England Banking Sector Barack Obama Basel Committee Basel III Bear Sterns Benefit Plan Sponsors Best Management Practices Bonds Burden of Proof Business Assets Business Companies Act Capital Requirements Captive Insurance Company Cease and Desist Orders Celera Certificates of Incorporation CFPOA Chapter 11 CII CIMA Class Representatives Closely Held Businesses Collateral Estoppel Comment Period Commerce Clause Commercial End-User Exception Commercial Real Estate Market Committee Meetings Commodities Exchange Act Companies Ordinance Competition Complex Financial Products Consent Consideration Controlled Foreign Corporations Cooperation Initiative Corporate Fraud Corporate Gifts Corporate Social Responsibility Corporate Tax Rates Corruption CPOs Creditors DDPs DE Supreme Court Debt Securities Default Demurrers Discovery Rule Discrimination Dissident Shareholders Distribution Rules Divorce Document Requests Documentation DOMA Duty to Disclose Earnings Reports Email Emerging Markets EMIR Employee Shareholders End-Users Environmental Policies Equity Markets Ernst & Young EU Directive Examination Priorities Exemptive Orders Fair Valuation False Claims Act False Reporting Falsified Documents FBI Fee Disclosure Finance Lenders Financial Accounting Standards Board Financial Markets Financial Services Industry FinCEN Firearms Foreign Private Issuers Forfeiture Form 10-Q Form 13F Form SD Forum Shopping Franchise Tax Board Freeze-Out Mergers FSB FSOC Fund-raising Futures FX Swaps GAAR General Partnerships Government Investigations Greenlight Capital v Apple Greenmail GRId System Healthcare Heinz High Frequency Trading Hiring & Firing Hotlines IASB Incentives Indemnification Clauses Independent Counsel India Information Reports Injunctions Insurance Industry Insurance Litigation Internal Affairs Doctrine Internal Reporting International Trade Agreements Investor Advisory Committee Kellogg Brown & Root Legal Entity Identifiers Lehman Brothers Leveraged Buyout Licensing Rules Loss Causation Loss Contingencies Magyar Telekom Majority Voting Policies Managers Market Participants Materiality Media Members Membership Interest Memorandum of Understanding Microsoft MOFCOM Mootness Mortgage-Backed Securities Multinationals Municipal Bonds Municipalities Negligence NEP Net Investment Income Net Operating Losses NIST Nominations OFAC Oil & Gas Oppression Remedy Opt-Outs Ordinary Business Exception OSHA Parent Corporation Payroll Taxes PBGC Pension Funds Permanent Injunctions Personal Benefit Personal Jurisdiction Pleading Standards Policy Violations Political Campaigns Prescription Drugs Privacy Policy Private Company Shares Private Letter Rulings Private Securities Litigation Reform Act of 1995 Privatization Proxy Put Prudential Regulation Authority PSLRA Public Accounting Oversight Board Public Benefit Corporation Public Interest Public Offering Filing System Purchase Agreement Quorum Quoted Companies Rating Agencies Regulation S Regulation S-X Reorganizations Repatriation Residency Requirements Reversal Reverse Triangular Mergers Right of FIrst Refusal Ring-Fencing Rival Director Slate RMBS Rule 156 Rule 506 RULLCA Russian Civil Code Sales SAR SEC Commissioner Secretary of State Section 10 of the Exchange Act Section 25102f Securities Dealers Securitization SEFs Segregated Portfolio Companies Selective Waivers Self-Dealing Self-Reporting Series A Series B Share Capital Shareholder Demands Shelf Corporations Short-Form Mergers Short-Swing Trading Short-Term Investments Small Business Formation Sothebys State Budgets State Taxes Stock Float Stock Redemption Stockholders' Meetings Strategic Planning Stress Tests Structured Financial Products Subpoenas Succession Planning Surveys Symantec Takeover Bids TARP Tax Incentives Technology Sector TIAA CREF Training Transfer Agents Transfer Restrictions Trusts UCITS UK Employment Appeal Tribunal US v Newman Voluntary Disclosure Voluntary Withdrawal Voting Buttons Voting Powers Waiver of Notice Warren Buffet Year-End Planning "shareholder 15E(w) System 17g-5 System 2013 No-Rule List Above the Law Abuse of Process Acceleration Accounting Fraud Accrual Requirements Actual Injuries Administrative Appointments Admissions of Liability Adoption Advisory Contracts Affidavits Affirmative Defenses Aftermarket Purchases AICPA AIG Alberta Securities Commission Alibaba Alien Tort Allergan Inc Alter Ego Amended Complaints American Rule AMF Amgen Amnesty International Andrew Cuomo Angel Networks Anguilla Anti-Terrorism Act Anti-Waiver Statutes Antidumping Duties Antitrust Litigation Appearance Policy Appointed Public Officials Appraisal Clauses Approval Arbitrage Arbitration Agreements Articles of Association Asia Pacific ASIC Assault Weapons Asset Class Asset Diversification Asset Management Unit Associated Persons ATS Auction Australian Securities and Investments Commission Australian Stock Exchange Automatic Withdrawal Automotive Industry Avon Back Pay Balance Sheets Bank Accounts Banking Crisis Banking Law Modernization Package Belgium Belize Benchmarking Benchmarks BEPS Berkshire Hathaway Best Practices Biopharmaceutical BIS Bis In Idem BlackRock Block Trades Board of Trustees Borrowers Botox Breach of Trust BRICS Broadridge Bruce Karpati Bureau of Economic Analysis Burger King Business Corporation Act Business Disputes Business Income Business Ownership Buy-Sell Agreements Buyer Beware C&DIs CAFA Cal Code of Civil Procedure CAMAC Capitalization Carried Interest Tax Rates Carry Forward Case Consolidation Causation Cayman Islands CBCA CBOE CCAA CCGG CCO CCPs CDD Certificates of Compliance CFIUS Change in Control Change of Ownership Chapter 13 Chevron Deference Choice-of-Law Churches CID Cisco Citizens United Citizenship Claim Preclusion Class of Stock Clean Tech Cleanup Doctrine Clearing Agencies Clearing Agents Clearing Members Clickwrap Agreements Clinical Trials Co-Bidder Coast Guard Cobalt CoC Coca Cola Collateral Benefits Collateralized Loan Obligations Commercial Insurance Policies Commercial Loans Common-Interest Privilege Compagnie Nationale du Rhone Compensatory Awards Competition Authorities Competitive Bidding Complex Corporate Transactions Complex Litigation Compliance Commitees Comptroller Conditional Gifts Confidential Witnesses Conservation Easements Conservators Construction Industry Consultation Consumer Watchdog Contempt Continuity of Enterprises Continuous Ownership Rule Contract Disputes Contract Formation Contract Term Contract Terms Control Buyouts Controlled Groups Conversion Convertible Bonds