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SEC SCOTUS RMBS Enforcement Actions Class Action CFTC Fiduciary Duty Securities Fraud Fraud Dodd-Frank ERISA Insider Trading Securities Exchange Act Securities Act of 1933 EU FINRA Breach of Duty Banks Securities Litigation Whistleblowers Appeals Settlement Statute of Limitations Investment Adviser Shareholders Motion to Dismiss Popular Securities FIfth Third Bancorp v Dudenhoeffer Compliance Shareholder Litigation Misrepresentation Swaps Mortgages UK DOJ Corporate Counsel Enforcement Broker-Dealer Rating Agencies FDIC Material Misstatements Board of Directors ESOP Citigroup JPMorgan Chase Mortgage-Backed Securities Omnicare v Laborers District Council Federal Reserve FHFA Stock Drop Litigation Investors Omnicare Section 11 Financial Institutions Hedge Funds Dismissals Ponzi Scheme Disclosure Requirements Disgorgement European Securities and Markets Authority (ESMA) Retaliation Whistleblower Protection Policies Sarbanes-Oxley False Statements Registration Statement US Bancorp Class Certification FCPA OCC Arbitration Bank of America Employee Benefits Judge Rakoff CFPB Goldman Sachs Morgan Stanley Trustees Banking Sector Deutsche Bank Jurisdiction Summary Judgment Administrative Proceedings Canada Collateralized Debt Obligations Stocks Derivative Suit Financial Conduct Authority (FCA) Merrill Lynch Personal Benefit Scienter SEC v Citigroup Anti-Retaliation Provisions Commercial Bankruptcy Duty of Prudence Fannie Mae Standing Freddie Mac Moody's Preemption Whistleblower Awards Barclays Chevron Deference Fraud-on-the-Market Investment Advisers Act of 1940 Pleading Standards Repurchases Statement of Opinion Swap Dealers Business Judgment Rule Derivatives Financial Markets Halliburton v Erica P. John Fund Investment Funds UBS 401k Bernie Madoff Breach of Contract Countrywide Hong Kong HSBC Internal Controls Libor Market Manipulation Pensions Rule 10b-5 US v Newman Criminal Prosecution Cross-Border European Commission Exclusive Jurisdiction Extraterritoriality Rules Halliburton NCUA Putative Class Actions Retirement Plan Risk Management Statute of Repose Bank of New York (BNY) Mellon Conflicts of Interest Mergers Mutual Funds No-Action Relief Reporting Requirements SLUSA Attorney's Fees China Commodities Exchange Act Conflict Mineral Rules EMIR Employer Liability Issues FERC Illegal Tipping Interlocutory Appeals Material Nonpublic Information Misleading Statements No-Action Letters Safe Harbors Section 10(b) Books & Records Bribery Brokers Consent Decrees Federal Jurisdiction FinCEN Foreign Banks High Frequency Trading Internal Reporting Morrison v National Australia Bank Negligent Misrepresentation NFA Proposed Regulation S&P Security-Based Swaps Underwriting AIFMD Disclosure Due Diligence Financial Regulatory Reform Fitch Investment Company Act of 1940 Loans Loss Causation Misappropriation Neither Admit Nor Deny Settlements NY Supreme Court PCAOB Tolling White Collar Crimes 28 USC 1331 Audits Australia Civil Monetary Penalty Commodities Commodity Pool Controlling Stockholders Creditors Directors Discovery DOL EBA False Claims Act (FCA) Merrill Lynch v Manning Municipal Bonds Penalties Petition for Writ of Certiorari PSLRA Regulation SHO Split of Authority Accounting Fraud Anti-Money Laundering Benefit Plan Sponsors Cease and Desist Orders Corporate Governance CPO Dark Pool DE Supreme Court Deferred Prosecution Agreements Fifth Third Mortgage Company FIRREA Going-Private Transactions Internal Investigations Investment Investment Management ISDA Liquidation Negligence Personal Jurisdiction Pharmaceutical Industry Private Equity Professional Liability Publicly-Traded Companies Representations and Warranties Resource Extraction Sanctions Subject Matter Jurisdiction Termination Tippees Valuation Aiding and Abetting ALJ Arbitration Agreements Bear Sterns Burden of Proof Capital Requirements Chief Compliance Officers CMBS Credit Suisse Crowdfunding Cybersecurity Damages European Banking Authority Evidence Forum Selection Futures Good Faith IRS JOBS Act Lenders Margin Requirements NYSE Oil & Gas Ontario Securities Act Permanent Injunctions Personal Liability Petrobras Price Manipulation Settlement Agreements Stress Tests Volcker Rule Yates Memorandum Administrative Procedure Act Antitrust Litigation Basel Committee Bylaws Confidential Information Delaware General Corporation Law Disclosure-Based Settlements Excessive Fees Federal Rules of Civil Procedure Fee-Shifting Final Rules Financial Adviser Financial Sector Foreign Exchanges Foreign Official Insurance Industry Joint and Several Liability Material Misrepresentation OCIE Offering Fraud Pump and Dump Reversal RICO Securities Violations Serious Fraud Office Structured Financial Products Trust Indenture Act Unregistered Brokers Vacated Venture Capital Virtual Currency Wells Fargo Amgen Attorney Generals Auditors Bitcoin Capital Markets Certiorari Chadbourne & Parke LLP v Troice Clawbacks CME Commodity Futures Contracts Confidentiality Agreements Corporate Officers CPOs DBRS Duty of Care Employee Stock Purchase Plans FCMs Fees Financial Crisis Financial Reporting Financial Statements Fines First Amendment Foreign Nationals Fraudulent Transfers FSMA FTC GAAP Hong Kong Securities and Futures Commission (HKSFC) Individual Accountability Injunctions Injunctive Relief Investment Fraud IOSCO Lehman Brothers Mandatory Arbitration Clauses MiFID Minority Shareholders Money Market Funds Municipal Securities Issuers Nasdaq Pay-To-Play Private Right of Action Proxy Statements Public Disclosure Reasonableness Factors Registered Investment Advisors Regulation S-K Remand Royal Bank of Scotland Siemens U.S. Treasury Wal-Mart AIFM American Pipe & Construction Co. v. Utah Amgen Inc. v Connecticut Retirement Plans Attorney-Client Privilege Bank Fraud Bankruptcy Code Breach of Warranty BRRD Cause of Action Accrual Change in Control Comment Period Corruption Credit Ratings Debt Debtors Declaratory Relief Dirks v SEC Dismissal With Prejudice Distressed Debt Federal Arbitration Act Financial Services Authority Financing FSOC Fund Managers Institutional Investors Investment Banks IPO Jury Trial Major Swap Participants Market Participants Mary Jo White Moench Presumption Natural Gas Natural Resources Omissions Opt-Outs OSHA Pension Funds Pleadings Presumption of Reliance Protected Activity Prudential Regulation Authority Public Offerings Qualified Mortgage Rule Qui Tam Receivership Registration Regulation D Removal Retirement Secondary Markets Securitization SEFs Self-Reporting SIPA Spoofing Startups Stock Purchase Agreement Summary Plan Description Sun Capital Partners Trulia Unfair or Deceptive Trade Practices Unions Unregistered Securities US Bank Venue Withdrawal Liability Young Lawyers Zillow Abuse of Discretion Administrative Hearings AIG Algorithmic Trading Appointments Clause Article III Bank Holding Company Basel III Basic v Levinson Bonds Business Litigation C-Suite Executives CEOs Chapter 11 Claim Preclusion Class Action Arbitration Waivers Clearing Agencies Cooperation Corporate Issuers Credit Unions Cross-Border Transactions CTA D&O Insurance Defined Benefit Plans Discovery Rule Document Productions Due Process EB-5 Energy Market Equitable Relief Executive Compensation Expungement Failure To State A Claim Fairness Standard FATCA Filing Requirements Foreign Corporations Foreign Investment Gabelli v SEC Government Investigations Guilty Pleas Hiring & Firing Income Taxes Inside Information Insolvency Interest Rates ISS Janus Capital Group Judicial Review Kraft Lawson v FMR Limited Liability Companies Liquidity Coverage Ratio Loan Modifications Merger Agreements Minimum Contacts Money Laundering Mortgage Loan Originators OTC Private Equity Funds Professional Misconduct Prospectus Proxy Put Putback Claims Quid Pro Quo Rebuttable Presumptions Recordkeeping Requirements Rescission Settlements Short Sales Stanford Ponzi Scheme Statement of Facts Stock Repurchases Subprime Mortgages SunTrust Supplemental Disclosures Third-Party Trading Platforms Trusts UCITS Wire Fraud Yahoo! 16(b) Actual or Constructive Knowledge Administrative Appeals Administrative Review Board Admissions of Liability Advertising Allstate Alternative Trading Systems Ambiguous Amicus Briefs Application of Foreign Laws Ascertainable Class Asset Management Assignments Audit Committee Balance Sheets Bank Secrecy Act Bebo v SEC Benchmarks BitLicense Blue Sky Laws BP Brazil Business Court Buyouts CAFA CEA Chamber of Commerce Chapter 7 Citibank Comcast Comcast v. 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Owens Data Protection Debt Financing Debt Securities Default Defined Contribution Plans Demand Futility Dilution Dividends Duty of Loyalty Duty to Disclose Email Energy Entire Fairness Standard Equitable Tolling Equity Financing Ernst & Young ETFs Exclusive Forum False Advertising FCRA FDA Federal Tort Claims Act (FTCA) Forfeiture Forum Forum Non Conveniens France Fraudulent Inducement Frozen Assets Hart-Scott-Rodino Act HHS Hotels Housing Market ICE Indemnification Indictments IndyMac Injury-in-Fact Investigations Investment Companies Investment Portfolios Investor Protection ISDA Master Agreement ISOs Kenneth Cole Legal Entity Identifiers Legislative Committees Limitation Periods Materiality Meals-Gifts-and Entertainment Rules MiFID II Minerals Motion to Compel MSRB Multiemployer Plan Municipal Advisers Municipalities Non-Disclosure Agreement Non-Judicial Settlement Agreements NRSRO Offerings Ontario Securities Commission (OSC) Operating Agreements Oppression Remedy Partnerships 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Exchange Act Section 17(a) Section 25401 Section 36(b) Section 5 Securities Financing Transactions (SFTs) Self-Disclosure Requirements Severance Agreements Severance Pay Shareholder Demands Shareholder Rights Sherman Act Short-Swing Trading SIPC Small Business Sothebys Spinoffs Standstill Agreements State Law Claims State Secrets State Securities Claims Strategic Enforcement Plan Subcontractors Supply Chain Supreme Court of Canada Swap Agreements Tax Court Tax Credits Tax Refunds Third Point Tibble v Edison Int Title VII Trust Preferred Securities Utilities Sector Vanguard Vesting Wachovia Waiver of Tort Wells Notice Whirlpool Wiretapping 12b-1 plan 363 Sales Ability-to-Repay Abstention Accelerated Payments Accounting Acquittals Activist Hedge Funds Actual Damages Actual Injuries Actual Malice Actuaries Administrative Appointments Advisory Opinions Affidavits Affirmative Defenses Ageas Agents Aggregation Rules AirNB Algorithms Allergan Inc Ally Financial Inc Alter Ego American Express 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