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SEC Enforcement Actions Fraud RMBS Insider Trading Securities Fraud SCOTUS Fiduciary Duty Investment Adviser Settlement Compliance Enforcement CFTC Class Action Securities Act of 1933 ERISA Banks EU FINRA Securities Exchange Act Breach of Duty Securities Investors Ponzi Scheme Broker-Dealer Misrepresentation FIfth Third Bancorp v Dudenhoeffer JPMorgan Chase Mortgage-Backed Securities Rating Agencies Hedge Funds Dodd-Frank ESOP Securities Litigation Disclosure Requirements Mortgages Bank of America Omnicare v Laborers District Council Citigroup Material Misstatements Section 11 FDIC FHFA Registration Statement Swaps Statute of Limitations Goldman Sachs Omnicare Shareholders US Bancorp Conflicts of Interest Stock Drop Litigation Deutsche Bank DOJ Morgan Stanley Investment Funds Motion to Dismiss Employee Benefits Libor UK Board of Directors Criminal Prosecution Federal Reserve Rule 10b-5 European Securities and Markets Authority (ESMA) Investment Advisers Act of 1940 Popular Stocks UBS Chief Compliance Officers Dismissals Financial Conduct Authority (FCA) Penalties Retirement Plan Class Certification Disgorgement Fannie Mae Mutual Funds Sanctions Shareholder Litigation Whistleblowers 401k Bernie Madoff Freddie Mac Municipal Bonds Statement of Opinion Appeals Canada Civil Monetary Penalty Collateralized Debt Obligations Duty of Prudence False Statements Mary Jo White White Collar Crimes Corporate Counsel Foreign Banks High Frequency Trading NCUA OCC Private Equity Barclays Disclosure Financial Services Authority Market Manipulation Pensions SLUSA Brokers Countrywide FERC Fines Fraud-on-the-Market Judge Rakoff Neither Admit Nor Deny Settlements Professional Liability Trustees Audits FCPA FIRREA Fund Managers Misappropriation Portfolio Managers Asset Management Breach of Contract C-Suite Executives Custody Rule Directors DOL European Commission Halliburton Merrill Lynch Negligent Misrepresentation Reporting Requirements Repurchases S&P SEC v Citigroup Underwriting Corporate Officers Derivative Suit Derivatives Fifth Third Mortgage Company Illegal Tipping Insurance Industry Investigations Investment Company Act of 1940 Investment Management Municipalities No-Action Letters Pharmaceutical Industry Pleading Standards Public Offerings Registration Risk Management Short Sales Standing Volcker Rule Wells Fargo Whistleblower Awards Aiding and Abetting Due Diligence Fees Financial Institutions Halliburton v Erica P. John Fund Material Nonpublic Information Misleading Statements Moody's OCIE Personal Liability Policy Violations Private Equity Funds Scienter Swap Dealers US v Newman Virtual Currency Administrative Hearings Amgen Auditors Bitcoin Burden of Proof CFPB Cross-Border Duty of Care ETFs Hong Kong IPO Loss Causation Negligence NFA No-Action Relief Oil & Gas Preemption Sarbanes-Oxley Section 10(b) Statute of Repose Valuation Anti-Money Laundering Banking Sector Bear Sterns Benefit Plan Sponsors Capital Markets Chadbourne & Parke LLP v Troice Commodities Conspiracies Controlling Stockholders Dark Pool Financial Adviser Financial Statements Fraudulent Inducement IRA JOBS Act Moench Presumption Municipal Securities Issuers Nasdaq PCAOB Personal Benefit Recordkeeping Requirements Regulation M Summary Judgment Trusts U.S. Treasury Venture Capital Accounting Fraud Admissions of Liability AIFMD Asset Valuations Australia Bank of New York (BNY) Mellon Best Interest Contract Exemptions Books & Records Cease and Desist China Cross-Border Transactions Deferred Prosecution Agreements EMIR Employer Liability Issues European Banking Authority Evidence Excessive Fees Final Rules Financial Reporting FinCEN Fitch Foreign Exchanges FTC HSBC Internal Controls IRS Janus Capital Group Jurisdiction Loans Money Laundering Municipal Advisers Pay-To-Play Real Estate Market Royal Bank of Scotland Social Media Stress Tests Tolling Trade Market Abuse Unjust Enrichment Attorney Generals Bank Fraud Bonds Business Judgment Rule CEOs Chevron Deference Claim Preclusion Commercial Bankruptcy Commodity Pool Consent Decrees Corporate Governance Credit Ratings Credit Suisse Credit Unions Cybersecurity EBA Employee Stock Purchase Plans Energy False Claims Act (FCA) FBI FCMs FSMA GAAP General Solicitation Good Faith Interlocutory Appeals Internal Investigations Joint and Several Liability Major Swap Participants Mergers Misallocation of Funds Offerings Omissions Proposed Regulation Prudential Reasonableness Factors Retirement Rule 506 Offerings Secondary Markets Security-Based Swaps Statement of Facts Strategic Enforcement Plan Strict Liability Subprime Mortgages Wire Fraud AIG Algorithmic Trading Allstate Alternative Trading Systems American Pipe & Construction Co. v. Utah Amgen Inc. v Connecticut Retirement Plans Appraisal Assured Guaranty Corp. Bank of England Basel Committee Blue Sky Laws BP Breach of Warranty Bribery Cease and Desist Orders CFOs Citibank Clawbacks CMBS Collateralized Loan Obligations Commodities Exchange Act Confidential Information Conflict Mineral Rules Corruption DE Supreme Court Dilution Duty of Loyalty EB-5 Equitable Tolling Exchange-Traded Products Executive Compensation Fair Housing Act (FHA) Falsified Documents FATCA Financial Crimes Foreign Investment Form 10-K Going-Private Transactions Government Investigations Hart-Scott-Rodino Act Housing Market Injunctions Investment Companies Investment Fraud Investor Protection ISS Japan Lehman Brothers Liquidation Liquidnet Mandatory Victim's Restitution Act Market Participants Material Disclosures MBIA Insurance MiFID II Money Market Funds Mortgage Loan Originators MSRB MTFs New Regulations Non-Enforcement NY Supreme Court Ontario Securities Act Pension Funds Plan Administrators Pre-Merger Filing Requirements Presumption of Reliance Price Manipulation Private Funds Private Placements Prospectus Proxy Voting Guidelines Prudential Regulation Authority PSLRA Putative Class Actions Qualified Mortgage Rule RBS Receivership Regulation FD REIT Relation Back Doctrine Risk Assessment Sales Shareholder Rights SIPA Structured Financial Products The Clayton Act Tippees Too Big to Fail Transparency Trust Preferred Securities Unions Unregistered Brokers US Bank Accounting Controls Acquisitions Actual or Constructive Knowledge Advertising Affirmative Defenses AIFM Amgen v Harris Anti-Retaliation Provisions Antitrust Litigation Apple Arbitration Agreements Asset-Backed Securities ATMs Bank Holding Company Act Bank Secrecy Act Basic v Levinson BlackRock Block Trades British Bankers' Association BRRD Burger King Business Continuity Plans Business Development Companies Bylaws CalPERS Capital Requirements CCO Cell Phones Certiorari Charles Schwab Comcast Commerzbank Complex Litigation Cooperation Initiative CPO Credit Default Swaps Criminal Sanctions Crowdfunding CTA D&O Insurance Damages Data Protection Debt Debt Securities Defined Benefit Plans Defined Contribution Plans Derivatives Clearing Organizations Detroit Discovery DOE Duty to Disclose Economic Downturn Edge Act EEA EMMA Enforcement Statistics Ethics EU Market Abuse Regulation (EU MAR) European Central Bank Exemptions Expert Testimony Extraterritoriality Rules Facebook Failure To Disclose Failure To State A Claim Fairness Standard False Advertising FASB FATF FDA Federal Rules of Civil Procedure Federal Tort Claims Act (FTCA) Fee Disclosure FFIEC Fidcuciary Liability Financial Crisis Financial Regulatory Reform Financial Sector Finders First Derivative Traders Foreign Corporations Forfeiture Fraudulent Concealment Futures Germany Gramm-Leach-Blilely Act Guidance Update Hedging ICAP Incentive Compensation Income Taxes Insolvency Interest Rates International Finance International Litigation Investment Advisory Agreements Investment Banks IOSCO ISDA Issue Preclusion Joint Venture Jury Trial Jury Verdicts Leverage Ratio London Whale Long-Term Investment Funds Lying Mail Fraud Managers Market Abuse Martoma MCDC Memorandum of Understanding MiFIR Minority Shareholders Morrison v National Australia Bank Motion to Compel Multi-Employer Pensions Municipal Bankruptcy Municipal Securities Market Negligent Supervision Non-Judicial Settlement Agreements Nonbank Firms NYSE OCR Online Marketplace Lending Oppression Remedy OTC Payday Loans Permanent Injunctions Personal Jurisdiction Petition For Rehearing Pleadings Preferred Shares Prejudgment Interest Private Right of Action Private Securities Litigation Reform Act of 1995 Proposed Legislation Proprietary Trading Proxy Statements Public Disclosure Public Officials Public Schools Publicly-Traded Companies Puerto Rico Pump and Dump Pyramid Schemes Ranieri Partners Real Estate Development Real Estate Investments Reasonable Reliance Claims Rebuttable Presumptions Recess Appointments Regulation D Rescission Restitution Retailers Reverse Mergers RICO RMB Loans SAC Capital Section 10(b)-5 SEFs Self-Dealing Sellers SFO SIFMA Solar Energy Spoofing Startups Stock Options Stock Trades SunTrust Supervision Tax Evasion Tender Offers Transaction-Based Compensation Twitter UCITS Unfair or Deceptive Trade Practices USCIS Vacated Visas Waivers Wall Street Warranties Warrantless Searches Wash Trades Withdrawal Liability Zero Tolerance Policies 10b5-1 Plans 16(b) Ability-to-Repay Abuse of Process Accountants Accounting Accounting Standards Accredited Investors Acquisition Agreements Actual Damages Administrative Procedure Act Administrative Proceedings Admissions Advisory Contracts Advisory Opinions Affiliates Africa Ageas Aggregation Rules Algorithms Alternative Investment Funds Ambiguous Amended Regulation American Express Analytics Annual Meeting Anti-Corruption Anti-Kickback Statute Anti-Terrorism Financing Arbitrage Arbitration Articles of Incorporation ASIC Asset Diversification Asset Freeze Asset Protection Attorney's Fees Attorney-Client Privilege Australian Securities and Investments Commission Australian Securities Exchange (ASX) Bad Actors Bad Faith Balance Sheets Banging the Close Bank Holding Company Bank of Russia Banking Crisis Bar Associations Barack Obama BATS Exchange Beats Electronics Ben Bernanke Benchmark Pricing Benchmarks Beneficial Owner Best Interest Standard Bids Big-Boy Letters Biofuel Biotechnology BitLicense Board of Trustees Bond Financing Broker Commissions Bundling Rules Burden-Shifting Business Assets Business Court Business Development Business Formation Business Valuations But For Causation Buyouts C&DIs Calculation of Damages Canadian Securities Administration Capital Estimation Tool Caremark claim Carried Interest Carve Out Provisions Causation Cause of Action Accrual CEA Certificates of Incorporation Certifications Charter Schools Cherry Picking CIFG Assurance North America Circumstantial Evidence Citizens United City of Pontiac Clearing Agencies Clinical Trials Cloud Computing Collateral Collective Actions Collusion Comcast v. Behrend Committee on Payments and Market Infrastructure (CPMI) Commodity Futures Contracts Common Stock Community Banks Compensation Committee Competition Authorities Conflicts of Laws Congressional Investigations & Hearings Constitutional Challenges Constructive Trusts Consultation Consumer Financial Products Consumer Lenders Continuity of Enterprises Contract Disputes Contract Drafting Controlled Foreign Corporations Core Operations Doctrine Corporate Executives Corporate Issuers Corporate Misconduct Corporate Sales Transactions Corporate Securities Act Corporations Code Cost Allocation Court-Appointed Receivers Covenant of Good Faith and Fair Dealing CPAs CPOs CRA CRD IV Directive Credibility Creditors Criminal Conspiracy Cryptocurrency Custody Customer Funds Protection Customer Protection Rule Customer Service Standard CVS Cy Pres Funds Cyber Attacks Cyber Incident Reporting Data Breach Data Mining Debt Enforcement & Recovery Act (DERA) Debt Restructuring Debtor-Creditor Debtors Default Defect Defense Strategies Deferred Stock Incentive Plans Delaware General Corporation Law Delegation Clauses Dell Denial of Benefits Department of Financial Services Deposit Accounts Depository Institutions Direct Access Partners Disability Benefits Discounts Discovery Rule Discrimination Discussion Draft Dismissal With Prejudice Disqualification Distressed Debt Distribution Rules Division of Economic and Risk Analysis (DERA) DSIO DuPont Dutch Claim Code Duty to Investigate E*Trade E-Commerce ECON Economic Development Educational Institutions Electricity Electronic Blue Sheets Electronic Reporting Electronic Trading ELTIF End-Users Energy Market Energy Policy Act Entrepreneurs EPA Equitable Relief Equity Financing Equity Markets Eric Holder EU Data Protection Laws European Court of Justice (ECJ) European Supervisory Authorities (ESAs) Eurozone Exceptions Exchange Rates Exclusive Jurisdiction Exculpatory Clauses Expert Reports Expert Witness Extender Statutes Failure to Validate Fair Market Value False Press Release Family Businesses FBAR FBOs FCC Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Contractors Federal Housing Administration (FHA) Federal Pleading Requirements Federal Prosecutors Federal Savings Associations Federal Sentencing Guidelines Fee-Sharing Fee-Shifting Feeder Funds FFI Fifth Amendment Filing Fees Filing Requirements Financial Analysts Financial Markets Financial Products Finders Fees First Amendment Fiscal Year Flagstar Bank Flash Boys Food Manufacturers Foreign Currency Foreign Issuers Form D Filing Form SD Forum Founding Members Fourth Amendment Fraud and Abuse Fraudulent Transfers Fraudulent Wire Transfers Frivolous Lawsuits Frozen Assets FSA FSOC Funding Funding Portal Funding Requirements G20 Gabelli v SEC Gaming Gartenberg Factors GE Capital Retail Bank General Electric Genetically Engineered Seed Genuine Issue of Material Fact Genzyme George Canellos Global Market Global Systemically Important Financial Institutions (GSIFI) Golden Leash Arrangements Governmental Liability Green Cards GSE Guilty Pleas Gulf Oil Spill Habeas Corpus Harbinger Capital Partners LLC Healthcare Hewlett-Packard High-Speed Trading Hiring & Firing HMRC Home Depot Home Equity Hong Kong Securities and Futures Commission (HKSFC) Hotels HUD ICE Identity Theft IFRS IGAs Immigration Attorneys Indemnification Independent Boards Independent Expenditures Indictments IndyMac Inflation Adjustments Information Security Infrastructure Insider Breach Insider Information Institutional Investment Institutional Investors Insurance Brokers Insurance Litigation Integration Intent Interest Income Interest Rate Swaps Interlocking Directorate Internal Audit Functions Internal Revenue Code (IRC) International Banks International Harmonization Investment Firms Investment Partnerships iPhone ISDAfix iTraxx CDS indices Itt Educational Services Joint Audit Committee Judicial Deference Justifiable Reliance KPMG Kraft Latin America Lawson Legal History Lenders Lending Leverage Capital Ratio Leveraged Lending Liens LIHTC Likelihood of Confusion Listing Standards Litigation Strategies Living Will LLC Loan Agreements Lock-Up Requirements Loss of Income Madden v Midland Funding Mandatory Clearing Requirements Manufacturers Margin Calls Market Timing Martin Act MassMutual Material Misrepresentation Materiality McGraw Hill Medical Records Member State Membership Interest MFW Middle East Midland Funding MiFID Military Service Members Mineral Leases Mismanagement MLM MLM Industry MMF Mobile Apps Mobile Devices Monsanto More Harm Than Good Standard Mortgage Loan Servicing Standards Mortgage Servicers Motion to Amend Motion To Intervene NASD Natural Gas NCAs Negotiations Net Capital Rule New Amendments Non-Compete Agreements Non-Prosecution Agreements Non-Public Information Non-Solicitation Agreements Non-US Entities NRSRO NSA Nvidia Objective Standard Offering Documents Offshore Banks Offshore Funds Ontario Securities Commission (OSC) Oral Argument Organic Over-the-Counter Sales Overdraft Fees Oversight Committee Partnership Interests Partnership-in-Fact Partnerships Patent Infringement Pay or Play PDMR Penny Stocks Peregrine Financial Group Perjury Petition for Writ of Certiorari PJM Policies and Procedures Policy Exclusions Political Contributions Political Intelligence Portfolio Companies Pre-Suit Notice Preliminary Injunctions Prescription Drugs Price-Fixing