Securities Business Organization Finance & Banking

SEC Disclosure Requirements EU Enforcement Actions Popular JOBS Act Dodd-Frank UK Investment Adviser FINRA Compliance CFTC Crowdfunding Investors Broker-Dealer Startups Emerging Growth Companies Board of Directors Shareholders Corporate Governance Reporting Requirements Executive Compensation Initial Public Offerings Investment Funds Publicly-Traded Companies Securities Exchange Act Venture Capital Insider Trading Cybersecurity Proposed Regulation Regulation S-K Financial Conduct Authority (FCA) MiFID II Securities Act of 1933 European Securities and Markets Authority (ESMA) Capital Markets Capital Raising Fiduciary Duty Financial Statements Capital Formation Nasdaq Private Equity Regulation A Securities Corporate Counsel Derivatives NYSE Small Business Financial Institutions Private Placements Banking Sector IPO Regulation D Accredited Investors Fixing America’s Surface Transportation Act (FAST Act) Asset Management IRS Non-GAAP Financial Measures UK Brexit Conflicts of Interest Comment Period Exemptions FCPA GAAP Canada Foreign Investment Whistleblowers Investment Companies OCIE Public Offerings Risk Management Securities Fraud Stocks PCAOB Registration Requirement Audits DOJ Investment Advisers Act of 1940 Investment Company Act of 1940 Mutual Funds C&DIs Chief Compliance Officers Entrepreneurs Final Rules Sarbanes-Oxley FinTech Fraud No-Action Relief Federal Reserve Internal Controls Financial Reporting Financial Services Industry Investment Management Mergers Proposed Amendments UCITS Acquisitions Filing Requirements New Guidance Criminal Prosecution Fund Managers General Solicitation AIFMD Blockchain ISS Pay Ratio Anti-Money Laundering Directors Funding Portal Hedge Funds Swaps ERISA SCOTUS Banks China Transparency Mary Jo White Recordkeeping Requirements DOL No-Action Letters Proxy Statements Due Diligence European Commission Hong Kong Shareholder Litigation CEOs Class Action Equity Financing ETFs Form ADV Institutional Investors Pay-for-Performance Breach of Duty Compensation Committee Corporate Issuers EDGAR FTC Securities Litigation Shareholder Proposals Swap Dealers Australia Corporate Officers Hong Kong Securities and Futures Commission (HKSFC) Initial Coin Offering (ICOs) Registration Statement Volcker Rule Auditors Amended Regulation Clawbacks Hart-Scott-Rodino Act Listing Standards Offerings Bitcoin Liquidity EU Market Abuse Regulation (EU MAR) FDIC Proxy Voting Guidelines Rule 506 Offerings Corporate Financing Proxy Season U.S. Treasury Valuation Dividends EMIR Offering Fraud Private Equity Funds Token Sales OCC Registered Investment Advisors Regulatory Agenda Total Shareholder Return (TSR) Trump Administration Disgorgement Financial Markets Investor Protection IOSCO Settlement Spoofing Bonds Cross-Border Transactions Early Stage Companies FinCEN Safe Harbors Young Lawyers Audit Committee Fiduciary Rule Life Sciences New Regulations Public Disclosure Say-on-Pay Threshold Requirements Underwriting Foreign Private Issuers Market Abuse REIT CFPB Germany Incentive Compensation Misappropriation Misrepresentation Private Funds Regulation Technical Standards (RTS) Risk Assessment Business Development Companies Commodities Corporate Taxes Debt Securities MiFIR Proxy Access Virtual Currency XBRL Filing Requirements Books & Records Enforcement Form 10-K ISDA Private Offerings Prospectus Stress Tests Whistleblower Protection Policies Appeals Conflict Mineral Rules Disclosure Financing Margin Requirements Rule 144A Rule 147 Securitization Small Offering Exemptions Beneficial Owner Central Counterparties IFRS Privately Held Corporations Prudential Regulation Authority Sanctions SEC Examination Priorities Security-Based Swaps Shareholder Rights Singapore EBITDA Income Taxes Internal Revenue Code (IRC) Italy Major Swap Participants Personal Liability Advertising Algorithmic Trading Capital Requirements Digital Currency EEA Ethics FCMs Money Market Funds New Legislation NFA Seed Financing Smaller Reporting Companies Technology Sector Whistleblower Awards Administrative Proceedings Capital Gains Filing Deadlines Financial Adviser Limited Liability Company (LLC) Liquidity Risk Management Rule Price Manipulation Proposed Legislation Public Comment Registration Regulation S-X SEFs Canadian Securities Administration Commercial Bankruptcy Cryptocurrency Custody Rule FSOC Limited Partnerships Pending Legislation Pensions Retirement Plan Risk Alert Social Media Bank Holding Company Benchmarks Business Valuations Derivatives Clearing Organizations Distributed Ledger Technology (DLT) Examination Priorities Foreign Issuers Form 8-K Hedging Municipal Securities Issuers Pay-To-Play Penalties Proxy Access Rule Registered Investment Companies (RICs) Shareholder Activism Brokers Funding JPMorgan Chase Market Manipulation Regulatory Standards Securities Settlement Cycles Bribery Capital Markets Union Consultation Cooperation Corporate Culture FASB Financial Crisis Glass Lewis Japan Material Misstatements MSRB Municipal Bonds Self-Reporting Venture Funding Accounting Standards AIFM Bad Actors Convertible Debt Corp Fin Filing Fees Financial Regulatory Reform Financial Services Committee Foreign Direct Investment Foreign Exchanges MiFID Oil & Gas Ontario Securities Commission (OSC) Partnerships SEC Advisory Committee Unregistered Brokers Unregistered Securities Angel Investors Anti-Corruption Bank Secrecy Act Bylaws Equity Markets Exchange-Traded Products False Statements Lehman Brothers Money Laundering Person with Significant Control (PSC Register) Proxy Advisors Rating Agencies Retail Investors Size of Persons Test Size of Transaction Test Strategic Enforcement Plan Structured Financial Products Annual Reports Block Trades CDIs Cease and Desist Orders CMBS Confidential Information Corporate Bonds CPOs CTA Cyber Attacks Delaware General Corporation Law European Banking Authority Guidance Update Internal Investigations Investment Banks Loans Market Participants Material Nonpublic Information Personal Benefit Preemption Private Investment Funds Qualified Small Business Stock Regulation AT Remuneration RMBS Securities Act SMEs Statute of Limitations Subsidiaries Suspicious Activity Reports (SARs) Trustees US v Newman Alternative Investment Funds BaFin Barclays Basel III BRRD Capital Acquisition Broker (CAB) CME Controlling Stockholders DCMs Debt Derivative Suit Dismissals Diversity Fees Financial CHOICE Act Foreign Affiliates Foreign Banks Form S-1 Futures Insolvency Investment Jurisdiction Liquidation Listing Rules London Stock Exchange Monetary Authority of Singapore National Futures Association OECD Ponzi Scheme Ring-Fencing Rule 504 Shareholder Approval Stock Options Tier 2 Offerings TRACE Yates Memorandum Basel Committee Biotechnology Blue Sky Laws BSA/AML Business Continuity Plans Business Judgment Rule Commodities Exchange Act Commodity Pool CPO Dark Pool Deutsche Bank Director Compensation Disruptive Trading Practices Equity Compensation Equity Securities Excessive Fees Failure To Disclose France Hong Kong Stock Exchange Information Reports Innovation Lenders NASAA OTC Pension Funds Proposed Rules Related Parties Schedule 13D Securities Violations Silicon Valley Surveys Voting Rights Aiding and Abetting AML/CFT ASIC Business Formation Deregulation EB-5 EU Directive FSMA Holding Companies Libor Member State Position Limits Regulation FD Risk Mitigation Rule 10b-5 Secondary Markets Securities Exchanges Stock Exchange Tender Offers Unicorns Withholding Tax Business Development Civil Monetary Penalty Collateralized Debt Obligations Corporate Social Responsibility Corruption Creditors Data Protection DE Supreme Court Debt Restructuring Emerging Technology Companies Going-Private Transactions Goldman Sachs Government Investigations Hackers High Frequency Trading Median Employee Memorandum of Understanding Minority Shareholders Moody's Notice Requirements Omnicare v Laborers District Council Open-Ended Fund Companies (OFCs) Pharmaceutical Industry Russia Senior Managers Supervision Swing Pricing The Clayton Act AIM Amended Rules Bankruptcy Code BEA Benefit Plan Sponsors CFOs Common Stock Corporations Code CRD IV Directive Data Breach Debt Financing Department of Business Oversight Energy Sector Equity Investors FHFA Fines Foreign Subsidiaries Form N-PORT G-SIB Hyperlink Illegal Tipping Interest Rates Investment Portfolios Investor Advisory Committee Kickstarter Luxembourg Marketing Morgan Stanley Motion to Dismiss NCUA NYDFS Packaged Retail And Insurance-Based Investment Products (PRIIPS) Policies and Procedures Political Contributions Private Equity Firms Regulatory Reform Resource Extraction Retaliation Rule 506 S-Corporation Section 11 Separately Managed Accounts (SMA) Shareholder Votes Tax Deductions Ukraine US v Salman White Collar Crimes Administrative Hearings Amended Legislation Asset-Backed Securities Class Certification Code of Conduct Data Security Employee Benefits Enforcement Authority Exit Strategies Facebook Family Offices Federal Register Finders Foreign Corporations FSB Golden Leash Arrangements Insurance Industry Ireland Legislative Agendas Limited Liability Partnerships Management Fees Merrill Lynch Misleading Statements Municipal Securities Market NASD Portfolio Companies Portfolio Managers Pre-Merger Filing Requirements Putative Class Actions Real Estate Investments Regulation NMS Regulatory Agencies Required Documentation Resale Exemption Risk Retention Saudi Arabia SBIC Scienter Series A Share Buybacks SIFIs Spinoffs Structured Finance Tax Reform Title III Vesting 401k Accounting Fraud Administrative Appointments ALJ Alternative Trading Systems Asia Benchmarking C-Suite Executives Carried Interest Central Bank of Ireland Change in Control Chapter 11 Cherry Picking Citigroup Confidentiality Agreements Congressional Investigations & Hearings Consent Order Consumer Protection Act Corporate Executives Covered Funds Credit Default Swaps D&O Insurance Deadlines Debt Market Deferred Prosecution Agreements Depository Institutions Disclosure-Based Settlements Economic Sanctions Equity Plans Forex Form BE-10 Form N-Cen G20 HKEx ICFR Independence Rules Indictments Individual Accountability International Tax Issues Investment Firms ISDA Master Agreement Kokesh v SEC MCDC Mortgage-Backed Securities Municipal Advisers New Zealand Overboarding Protecting Americans from Tax Hikes (PATH) Act RAUM Regulatory Oversight Robo-Advisors Rule 14a-8 SBA Section 409A Senior Managers Insurers Regime (SMIR) Serious Fraud Office Shadow Banking Shareholder Distributions Shareholder Meetings SIFMA Special Purpose Vehicles Statement of Opinion Sun Capital Partners Third-Party Umbrella Registration Activist Hedge Funds AIF Appraisal Arbitration Attorney-Client Privilege Bank of New York (BNY) Mellon BEPS Brazil CEA Climate Change Controlled Foreign Corporations Controlled Groups Corporate Misconduct Counterparties Criminal Convictions Debt-Equity Disqualification Division of Investment Management Economic Development EFRP Electronic Trading Employer Liability Issues False Claims Act (FCA) Financial Fraud Financial Instruments Fitch Foreign Currency Gain Exclusion Golden Parachutes HM Treasury India Interest Rate Swaps Interim Rule Intermediaries Internal Reporting Leveraged Loans Licensing Rules Merger Agreements Mortgage REITS Multiemployer Plan NAV Netherlands New Amendments Offering Documents Offering Statements Online Marketplace Lending Outsourcing PDMR Permanent Injunctions Preferred Shares Proxy Contests Pump and Dump Required Forms Research and Development Section 162(m) Secured Debt Spain Standing Sustainability Swap Clearing Takeover Bids Tax Exemptions Uber Uncleared Swaps Voluntary Disclosure Waivers Wall Street Administrative Procedure Act Affiliates Anti-Retaliation Provisions Appointments Clause Artificial Intelligence Asset Valuations Bail-In Provisions Balance Sheets Banking Examinations Belgium BlackRock Borrowers Breach of Contract Broken Windows Bureau of Economic Analysis Buyouts C-Corporation Capitalization Certiorari Choice-of-Law Clearing Agencies Clearing Members Collateral Competition Congressional Committees Consolidated Audit Trail Conversion Corporate Structures Corporate Veil COSO Credit Rating Agencies Credit Suisse Criminal Conspiracy Cross-Border Data Collection DBRS Dirks v SEC Distribution Rules Duty of Care Electronic Filing Enforcement Statistics Equity Research Rule ESOP European Central Bank Exclusive Jurisdiction FATCA Financial Crimes Financial Stability Board Foreign Ownership Form D Filing Forum Selection Global Market Incentive Stock Options Internal Audit Functions International Harmonization Investigations Investment Fraud Iran Threat Reduction and Syria Human Rights Act Joint and Several Liability Joint Policy Statements Joint Venture Jury Trial Justice Department Leverage Ratio Liquidity Coverage Ratio Listed Company Manual Management Proposals Materiality Meals-Gifts-and Entertainment Rules Merrill Lynch v Manning Multinationals Municipalities Netflix Omissions Omnicare Ontario Securities Act Passporting Petition for Writ of Certiorari Premerger Notifications Presidential Elections Private Letter Rulings Professional Liability Project Finance Prudential Standards Ransomware Regulation SHO Renewable Energy Right of FIrst Refusal Rule 10D-1 Rule 144 Rule 147A Rule 18f-4 Rule 2210 Rule 506(c) Rulemaking Process Securities Financing Transactions (SFTs) Securities Regulation Securities Transactions Share Classes SLUSA SnapChat Solvency II Stock Markets Takeovers Tax Avoidance Term Sheets Third Country Entities Third-Party Service Provider Tippees TLAC Tone At The Top Trading Platforms UK Companies Acts Wage and Hour Websites Wire Fraud Yahoo! 10b5-1 Plans 28 USC 1331 Accounting Aggregation Rules AICPA American Pipe & Construction Co. v. Utah American Taxpayer Relief Act Annual Meeting Anti-Inversion Regulations Article 50 Treaty of the EU ASEAN Funds Associated Persons Bailout Bank of America Best Execution Best Interest Contract Exemptions BIS Bond Financing Business Assets Business Conduct Standards CalPERS CCPs CD&I Closed-End Funds Closely Held Businesses Commercial Loans Companies Act Compensation Agreements Corporate Fraud Damages Debtors Disciplinary Proceedings DSIO Earnings Reports EFTs EIOPA Emerging Markets Employee Stock Purchase Plans Entire Fairness Standard Equity Exceptions False Advertising Federal Budget Federal Jurisdiction Fee Disclosure FERC FIRPTA Fixed Income Investments Foreign Nationals Forfeiture Fraud-on-the-Market Fundraisers G-SII GAO General Data Protection Regulation (GDPR) General Motors Global Systemically Important Financial Institutions (GSIFI) Greece Guilty Pleas Halliburton Healthcare Independent Directors Indonesia Industry Examinations Infrastructure Intellectual Property Protection Interlocking Directorate Job Creation Leveraged Lending Limited Partnership Agreements MetLife Mexico Neither Admit Nor Deny Settlements Oil Prices Opt-Outs Parent Corporation Payment Services Directive Payment Systems Personally Identifiable Information Preferred Stock Financing Presumption of Reliance Qualified Client Qualified Institutional Buyers Rare Earth Metals Regulation C Regulation G Regulation M Regulation S Regulation S-P Regulation SCI Reorganizations Repeal Residual Interest RICs Rule 505 S&P SAFE SAR Section 10(b) Section 36(b) Sellers Selling a Business SFC Shareholders' Agreements Short Sales Software Developers Special Purpose Entities SRO Statute of Repose Stock Connect Stock Purchase Agreement Student Loans Sukuk Supply Chain Target Company Tax Incentives Tax Liability Technology Third Country Entities (TCEs) Tick Size Transacting Intrastate Business Transfer Pricing Trulia Trust Indenture Act U.S. Commerce Department UAE UK Insolvency Act Vanguard Webinars Withdrawal Liability Acquittals Activist Investors Advisors Act AIFs Analytics Annual Filings Anti-Bribery Asia Pacific Asset Diversification Attorney Generals Attorney's Fees Audit Policies Audit Reports Australian Securities and Investments Commission Bank of Italy Bear Sterns Benefit Corporations Best Practices Bond Issuers Burden of Proof Capital Requirements Regulation (CRR) CBOE CCO CFIUS Common Reporting Standard (CRS) Community Banks Complex Financial Products Comptroller