Browse Related Topics For:

Securities › Business Organization › Securities

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Enforcement Actions

Investment Adviser

Environmental Social & Governance (ESG)

Reporting Requirements

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

CFTC

Corporate Transparency Act

Greenhouse Gas Emissions

Risk Management

Financial Institutions

Regulatory Agenda

Artificial Intelligence

Financial Industry Regulatory Authority (FINRA)

Securities Fraud

Securities Exchange Act of 1934

Capital Markets

Investment Advisers Act of 1940

Regulatory Requirements

Securities Exchange Act

Board of Directors

Securities Litigation

Anti-Money Laundering

Special Purpose Acquisition Companies (SPACs)

UK

Initial Public Offering (IPO)

EU

White Collar Crimes

Foreign Corrupt Practices Act (FCPA)

Securities Act of 1933

Insider Trading

Investment Funds

Investment Management

Corporate Social Responsibility

Financial Conduct Authority (FCA)

Stock Repurchases

Financial Markets

Registered Investment Advisors

Whistleblower Protection Policies

Recordkeeping Requirements

Cyber Incident Reporting

Financial Regulatory Reform

Macquarie Infrastructure Corp v Moab Partners LP

Policies and Procedures

Investment Company Act of 1940

Anti-Corruption

Corporate Counsel

Financial Crimes

Crypto Exchanges

Money Laundering

Venture Capital

Conflicts of Interest

Misleading Statements

Regulatory Oversight

Federal Trade Commission (FTC)

Regulatory Reform

Civil Monetary Penalty

National Security

Consumer Financial Protection Bureau (CFPB)

Criminal Prosecution

ETFs

Risk Assessment

Bank Secrecy Act

Federal Reserve

Financial Statements

European Securities and Markets Authority (ESMA)

Filing Deadlines

IRS

Whistleblower Awards

Failure To Disclose

Machine Learning

Administrative Procedure Act

Capital Raising

Corporate Misconduct

Electronic Communications

Emerging Growth Companies

Office of Foreign Assets Control (OFAC)

Asset Management

Canadian Securities Administration

Decentralized Finance (DeFi)

FDIC

OCC

Smaller Reporting Companies

Bank of England

Constitutional Challenges

Consumer Financial Products

Executive Compensation

False Statements

Internal Controls

Investment Companies

Securities Transactions

Climate Action Plan

Corporate Issuers

Filing Requirements

NYSE

Regulatory Standards

Suspicious Activity Reports (SARs)

Controlling Stockholders

Financial Reporting

Proposed Amendments

Trading Platforms

Commodity Exchange Act (CEA)

FBI

Foreign Private Issuers

Futures Commission Merchants (FCMs)

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Proxy Statements

Unregistered Securities

Voluntary Disclosure

Adverse Employment Action

European Commission

Exchange-Traded Products

FHFA

Registration Requirement

Rulemaking Process

Shell Corporations

Technology Sector

Confidential Information

Hong Kong Stock Exchange

Market Participants

Murray v UBS Securities LLC

Alternative Investment Fund Managers Directive (AIFMD)

Business Entities

Corporate Officers

Department of Labor (DOL)

Internal Revenue Code (IRC)

NPRM

Accredited Investors

Delaware General Corporation Law

Diversity and Inclusion Standards (D&I)

First Amendment

Listing Standards

Proxy Voting Guidelines

Virtual Currency

Anti-Retaliation Provisions

Distributed Ledger Technology (DLT)

Employee Retirement Income Security Act (ERISA)

Institutional Investors

Investment Firms

Material Nonpublic Information

Misappropriation

Prudential Regulation Authority (PRA)

Retirement Plan

Task Force on Climate-related Financial Disclosures (TCFD)

Chief Information Security Officer (CISO)

Confidentiality Agreements

DE Supreme Court

Digital Currency

Economic Sanctions

Employer Liability Issues

Financial Transactions

Foreign Investment

Investment Opportunities

Investor Protection

Shareholder Litigation

Shareholder Proposals

Business Strategies

Capital Formation

Chief Compliance Officers

Corporate Crimes

European Banking Authority (EBA)

False Claims Act (FCA)

Hong Kong Securities and Futures Commission (HKSFC)

Investment Contract

Misrepresentation

Ontario Securities Commission (OSC)

Proposed Legislation

Real Estate Investments

Regulatory Violations

Risk Mitigation

SBA

Self-Disclosure Requirements

UBS

Biden Administration

Business Ownership

Customer Due Diligence (CDD)

Data Protection

Financial Services Committee

Governance Standards

Institutional Shareholder Services (ISS)

MNPI

New Regulations

Non-Public Information

Private Equity Funds

Public Offerings

REIT

Shareholder Rights

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Proceedings

Books & Records

Business Litigation

Carbon Emissions

Compensation & Benefits

Consumer Lenders

Coronavirus/COVID-19

GAAP

Market Manipulation

NCUA

NIST

Pharmaceutical Industry

Proposed Regulation

Registration Statement

Retail Investors

SEC Examination Priorities

Securities Traders

Summary Judgment

Administrative Law Judge (ALJ)

Amended Regulation

Capital Investments

Commercial Bankruptcy

Commodity Trading Advisors (CTAs)

Compliance Dates

Continuing Legal Education

Criminal Penalties

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Entire Fairness Standard

Environmental Policies

Exempt Reporting Advisers (ERAs)

FEPA

HKEx

MD&A Statements

New Legislation

Non-GAAP Financial Measures

Notice of Proposed Rulemaking (NOPR)

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Regulatory Authority

Securities Dealers

Seventh Amendment

Statutory Violations

Sustainable Business Practices

XBRL Filing Requirements

Bankruptcy Court

Business Judgment Rule

Cease and Desist Orders

Chamber of Commerce

Department of Financial Protection and Innovation (DFPI)

Derivatives Clearing Organizations

Employee Benefits

Employment Contract

Enforcement Priorities

Environmental Protection Agency (EPA)

Food and Drug Administration (FDA)

Foreign Direct Investment

Foreign Entities

Incident Response Plans

Investment Portfolios

Judicial Review

Political Contributions

Prohibited Transactions

Renewable Energy

Securities Exchanges

Securities Tokens

SFDR

Shareholder Activism

Shareholder Meetings

Administrative Stay

AIFM

Asset-Backed Securities

Bankruptcy Code

CDIs

Closed-End Funds

Corporations Code

Data Collection

Executive Orders

FCPA Corporate Enforcement Policy (CEP)

Federal Contractors

Financial Instruments

Foreign Corporations

Hiring & Firing

Incentive Compensation

Information Reports

Innovative Technology

ISDA

Limited Partnerships

Merger Agreements

Motion to Dismiss

NAV

Personal Information

Policy Statement

Portfolio Managers

Privately Held Corporations

Protected Activity

Regulation Technical Standards (RTS)

Securitization Standards

Shareholder Votes

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Terrorism Funding

Trading Policies

Anti-Fraud Provisions

British Columbia Securities Commission (BCSC)

Business Disputes

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Taxes

Criminal Investigations

Cybersecurity Information Sharing Act (CISA)

Debt

Department of Energy (DOE)

Designated Contract Markets (DCMs)

Digital Wallets

Dispute Resolution

Early Stage Companies

Export Controls

FATF

Foreign Exchanges

Freeze-Out Mergers

General Data Protection Regulation (GDPR)

Individual Retirement Account (IRA)

Information Technology

Initial Coin Offering (ICOs)

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Products

Know Your Customers

Law Enforcement

Money Transmitter

Mortgage-Backed Securities

No-Action Letters

Non-Prosecution Agreements

OECD

Passive Investments

Pay-for-Performance

Private Equity Firms

Quarterly Report

Regulation Best Interest

Reverse Stock Splits

Serious Fraud Office (SFO)

SRO

Third-Party Risk

401k

Accounting Standards

Alternative Investment Funds

Antitrust Provisions

Benefit Plan Sponsors

British Columbia Securities Commission

CEOs

Clearing Agencies

Commercial Litigation

Corporate Financing

Corporate Sales Transactions

Credit Facilities

Critical Infrastructure Sectors

Data Management

Debt Collection

Debt Securities

Department of Defense (DOD)

Derivative Suit

Digital Securities

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Adviser

Financial Regulatory Agencies

Financial Services and Markets Act

Foreign Issuers

Fourth Amendment

Fraudulent Transfers

FSMA

Government Investigations

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Inflation Reduction Act (IRA)

Instant Messaging Apps

Legislative Agendas

Long-Term Investment Funds

Major Swap Participants

Multidistrict Litigation

Municipal Bonds

Non-Disclosure Agreement

OMB

Online Platforms

Predictive Analytics

Price Inflation

Private Right of Action

Public Meetings

Repurchase Agreements

Sanction Violations

Security-Based Swaps

Shareholder Approval

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Total Shareholder Return (TSR)

Acquisition Agreements

Activist Investors

Aiding and Abetting

Anti-Kickback Statute

Appellate Courts

Arbitrary and Capricious

Arbitration Agreements

ASIC

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CFOs

Chevron Deference

Class Certification

Compliance Management Systems

Compliance Monitoring

Congressional Review Act

Consultation Papers

Consumer Financial Protection Act (CFPA)

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

CPOs

Criminal Conspiracy

Customer Identification Program (CIP)

Data Preservation

Declaratory Judgments

Department of Homeland Security (DHS)

Digital Platforms

Disciplinary Proceedings

EMIR

Energy Information Association (EIA)

Enforcement Authority

Entertainment Industry

Equal Protection

Equity Securities

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

Fees

Financial Stability Board

FSOC

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Guidance Update

Indemnification

Inflation Adjustments

Insurance Industry

Internal Rate of Return (IRR)

Internal Reporting

Investment Fraud

Israel Securities Authority (ISA)

London Stock Exchange

Majority Shareholders

Material Misstatements

Monetary Authority of Singapore

Money Services Business

Money Transmission Act

MSRB

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Primary Residence

Private Placements

Promissory Notes

Proposed Guidance

PTEs

Public Consultations

Public Disclosure

Regular Business Communications

Restricted Stocks

Reverse Mergers

Safeguards Rule

SAP America Inc.

SEC Comment Letter Process

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Securitization Market

Small and Medium-Sized Enterprises (SMEs)

Split of Authority

State and Local Government

Statutory Interpretation

Subscription Services

Tax Exempt Entities

Terrorist Financing

Third-Party Service Provider

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Wealth Management

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Alberta Securities Commission

Angel Investors

Anti-Terrorism Financing

Attorney General

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development

Business Development Companies

Business Divorce

Business Valuations

Buy-Side Trading

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

CCA

Central Bank Digital Currency (CBDCs)

Change of Control

Chicago Mercantile Exchange (CME)

Collateralized Loan Obligations

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Covered Entities

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

EFTs

Electric Vehicles

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Parliament

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair Labor Standards Act (FLSA)

Fair-Notice Standard

FCC

Federal Arbitration Act

Federal Funding

Federal Register

Federal Rules of Civil Procedure

FICC

Financial Reporting Council (FRC)

Foreign Currency

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Corporation Law

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Hart-Scott-Rodino Act

HMRC

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

IFRS

Incentive Awards

Information Governance

Information Security

Information Sharing

Injunctive Relief

Institutional Investment

Interlocutory Appeals

Internal Investigations

International Capital Markets Association (ICMA)

International Tax Authority

Interstate Commerce

Investing Companies

Licensing Rules