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SEC Enforcement Actions Fraud RMBS Fiduciary Duty Securities Fraud Insider Trading Investment Adviser SCOTUS Settlement Compliance Enforcement Class Action ERISA CFTC Securities Act of 1933 Banks Breach of Duty EU FINRA Securities Exchange Act Securities Investors Broker-Dealer Misrepresentation Ponzi Scheme FIfth Third Bancorp v Dudenhoeffer JPMorgan Chase Mortgage-Backed Securities Rating Agencies Dodd-Frank ESOP Disclosure Requirements Hedge Funds Securities Litigation Mortgages Bank of America Omnicare v Laborers District Council Citigroup Material Misstatements Section 11 FDIC FHFA Registration Statement Statute of Limitations Swaps Conflicts of Interest Goldman Sachs Omnicare Shareholders Stock Drop Litigation US Bancorp Investment Funds Deutsche Bank DOJ Employee Benefits Morgan Stanley Retirement Plan Motion to Dismiss UK Investment Advisers Act of 1940 Libor Mutual Funds Board of Directors Criminal Prosecution Dismissals Federal Reserve Rule 10b-5 Stocks 401k European Securities and Markets Authority (ESMA) Financial Conduct Authority (FCA) Popular UBS Penalties Whistleblowers Chief Compliance Officers Class Certification Disgorgement Fannie Mae Sanctions Shareholder Litigation Bernie Madoff Freddie Mac Municipal Bonds Statement of Opinion Appeals Canada Civil Monetary Penalty Collateralized Debt Obligations Corporate Counsel DOL Duty of Prudence False Statements Mary Jo White White Collar Crimes Foreign Banks High Frequency Trading NCUA OCC Private Equity Trustees Barclays Disclosure Financial Services Authority Market Manipulation Pensions SLUSA Brokers Countrywide FERC Fines Fraud-on-the-Market Fund Managers Insurance Industry Investment Company Act of 1940 Judge Rakoff Neither Admit Nor Deny Settlements Audits FCPA FIRREA Investment Management Misappropriation Negligent Misrepresentation Portfolio Managers Professional Liability Asset Management Breach of Contract C-Suite Executives Custody Rule Directors European Commission Excessive Fees Halliburton Merrill Lynch Personal Liability Pleading Standards Reporting Requirements Repurchases S&P SEC v Citigroup Underwriting Corporate Officers Derivative Suit Derivatives Fees Fifth Third Mortgage Company Illegal Tipping Investigations Misleading Statements Municipalities No-Action Letters OCIE Pharmaceutical Industry Private Equity Funds Public Offerings Registration Scienter Short Sales Standing Volcker Rule Wells Fargo Whistleblower Awards Aiding and Abetting Best Interest Contract Exemptions Burden of Proof CFPB Due Diligence Financial Institutions Halliburton v Erica P. John Fund Hong Kong Loss Causation Material Nonpublic Information Moody's Policy Violations Risk Management Sarbanes-Oxley Swap Dealers US v Newman Virtual Currency Administrative Hearings Amgen Anti-Money Laundering Auditors Banking Sector Bitcoin Cross-Border Duty of Care ETFs Financial Adviser IPO IRA Negligence NFA No-Action Relief Oil & Gas Preemption Section 10(b) Statute of Repose Summary Judgment Valuation Bear Sterns Benefit Plan Sponsors Capital Markets Chadbourne & Parke LLP v Troice Commodities Conspiracies Controlling Stockholders Dark Pool Final Rules Financial Statements FinCEN Fraudulent Inducement JOBS Act Moench Presumption Municipal Securities Issuers Nasdaq Pay-To-Play PCAOB Personal Benefit Recordkeeping Requirements Regulation M Tolling Trusts U.S. Treasury Unjust Enrichment Venture Capital Accounting Fraud Admissions of Liability AIFMD Asset Valuations Australia Bank of New York (BNY) Mellon Books & Records Cease and Desist China Cross-Border Transactions Deferred Prosecution Agreements EMIR Employee Stock Purchase Plans Employer Liability Issues European Banking Authority Evidence Fiduciary Rule Financial Reporting Fitch Foreign Exchanges FTC HSBC Internal Controls IRS Janus Capital Group Jurisdiction Loans Money Laundering Municipal Advisers Real Estate Market Royal Bank of Scotland Social Media Stress Tests Trade Market Abuse Attorney Generals Bank Fraud Bonds Business Judgment Rule Cease and Desist Orders CEOs Chevron Deference Claim Preclusion Commercial Bankruptcy Commodity Pool Consent Decrees Credit Ratings Credit Suisse Credit Unions Cybersecurity EBA Energy Executive Compensation False Claims Act (FCA) FBI FCMs FSMA GAAP General Solicitation Good Faith Interlocutory Appeals Internal Investigations Investment Companies Joint and Several Liability Major Swap Participants Mergers Misallocation of Funds Offerings Omissions Pension Funds Proposed Regulation Prudential Reasonableness Factors Retirement Rule 506 Offerings Secondary Markets Section 36(b) Security-Based Swaps Statement of Facts Strategic Enforcement Plan Strict Liability Subprime Mortgages Transparency 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 CFOs Citibank Clawbacks CMBS Collateralized Loan Obligations Commodities Exchange Act Confidential Information Conflict Mineral Rules Corporate Governance Corruption DE Supreme Court Dilution Duty of Loyalty EB-5 Equitable Tolling Exchange-Traded Products Fair Housing Act (FHA) Falsified Documents FATCA Financial Crimes Financial Markets Financial Sector Foreign Investment Form 10-K Gartenberg Factors Going-Private Transactions Hart-Scott-Rodino Act Housing Market Injunctions Internal Revenue Code (IRC) International Litigation 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 Personal Jurisdiction Plan Administrators Pleadings 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 Trust Preferred Securities Unions Unregistered Brokers US Bank Accounting Controls Acquisitions Actual or Constructive Knowledge Administrative Proceedings Advertising Affirmative Defenses AIFM Amgen v Harris Anti-Retaliation Provisions Antitrust Litigation Apple Arbitration Agreements Asset-Backed Securities ATMs AXA Equitable Life 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 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Puerto Rico Pump and Dump Pyramid Schemes Ranieri Partners Real Estate Development Real Estate Investments Reasonable Reliance Claims Rebuttable Presumptions Recess Appointments Registered Investment Advisors Regulation D Regulation S-K Rescission Restitution Retailers Retirement Plan Providers 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 TPAs 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 Add-ons Administrative Procedure Act Admissions Adverse Employment Action Advisory Contracts Advisory Opinions Affiliates Africa 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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 Closely Held Businesses Cloud Computing Collateral Collective Actions Collusion Comcast v. 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Incident Reporting Data Breach Data Mining Debt Collection 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 Demand Futility Denial of Benefits Department of Financial Services Deposit Accounts Depository Institutions Direct Access Partners Disability Benefits 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 Exchange Rates Exclusive Jurisdiction Exculpatory Clauses Expert Reports Expert Witness Extender Statutes Failure to Validate Fair Market Value False Press Release False Reporting Family Businesses FBAR FBOs FCC FDCPA 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 Products Finders Fees First Amendment First National Fiscal Year Flagstar Bank Flash Boys Florida Food Manufacturers Foreign Currency Foreign Issuers Form ADV Form D Filing Form SD Forum Forum Non Conveniens Forum Selection Clause Forward Contracts Founding Members Fourth Amendment Fraud and Abuse Fraudulent Transfers Fraudulent Wire Transfers Frivolous Lawsuits Frozen Assets FSA FSOC Fund Expenses Funding Funding Portal Funding Requirements G20 Gabelli v SEC Gaming 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 HMRC Holding Companies Home Depot Home Equity Hong Kong Securities and Futures Commission (HKSFC) Hong Kong Stock Exchange Hotels HUD ICE Identity Theft IFRS IGAs Immigration Attorneys Indemnification Independent Boards Independent Expenditures Indictments IndyMac Inflated Stock Purchase Price Inflation Adjustments Information Security Infrastructure Insider Breach Insider Information Institutional Investment Institutional Investors Insurance Brokers Insurance Litigation Integration Intent Interest Income Interest Rate Swaps Interference Claims Interlocking Directorate Intermediaries Internal Audit Functions International Banks International Harmonization Investment Investment Firms Investment Partnerships iPhone ISDAfix iTraxx CDS indices Itt Educational Services Judicial Deference Justifiable Reliance KPMG Kraft Latin America Lawson Legal History Lenders Lending Leverage Capital Ratio Leveraged Lending Liens Life Insurance LIHTC Likelihood of Confusion Limited Liability Company (LLC) Listing Standards Litigation Strategies Living Will Loan Agreements Lock-Up Requirements Long Arm Statute 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 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