Browse Related Topics For:

Securities › Civil Procedure › Wills, Trusts, & Estates

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Enforcement Actions

Investment Adviser

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

Securities Fraud

Securities Exchange Act

CFTC

Corporate Transparency Act

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Regulatory Agenda

Financial Institutions

Securities Exchange Act of 1934

Artificial Intelligence

Financial Industry Regulatory Authority (FINRA)

Capital Markets

Regulatory Requirements

Investment Advisers Act of 1940

UK

Board of Directors

Securities Act of 1933

Special Purpose Acquisition Companies (SPACs)

Anti-Money Laundering

Initial Public Offering (IPO)

EU

Foreign Corrupt Practices Act (FCPA)

White Collar Crimes

Insider Trading

Corporate Social Responsibility

Investment Funds

Investment Management

Financial Conduct Authority (FCA)

Financial Markets

Stock Repurchases

Registered Investment Advisors

Whistleblower Protection Policies

Policies and Procedures

Recordkeeping Requirements

Crypto Exchanges

Financial Regulatory Reform

Cyber Incident Reporting

Investment Company Act of 1940

Corporate Counsel

Macquarie Infrastructure Corp v Moab Partners LP

Misrepresentation

Anti-Corruption

Regulatory Reform

Conflicts of Interest

Financial Crimes

Misleading Statements

Money Laundering

Regulatory Oversight

Venture Capital

Federal Trade Commission (FTC)

Civil Monetary Penalty

Consumer Financial Protection Bureau (CFPB)

National Security

Criminal Prosecution

ETFs

Whistleblower Awards

Federal Reserve

Financial Statements

Risk Assessment

Bank Secrecy Act

Filing Deadlines

IRS

Material Misstatements

Putative Class Actions

Corporate Misconduct

European Securities and Markets Authority (ESMA)

Failure To Disclose

Decentralized Finance (DeFi)

Electronic Communications

Executive Compensation

Internal Controls

Machine Learning

NYSE

Office of Foreign Assets Control (OFAC)

Administrative Procedure Act

Canadian Securities Administration

Emerging Growth Companies

Investment Companies

Securities Transactions

Smaller Reporting Companies

Bank of England

Capital Raising

Constitutional Challenges

Consumer Financial Products

Corporate Issuers

Filing Requirements

Financial Reporting

Asset Management

False Statements

FDIC

OCC

Proposed Amendments

Suspicious Activity Reports (SARs)

Climate Action Plan

Foreign Private Issuers

Futures Commission Merchants (FCMs)

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Trading Platforms

Unregistered Securities

Voluntary Disclosure

Commodity Exchange Act (CEA)

FBI

Proxy Statements

Regulatory Standards

Adverse Employment Action

Controlling Stockholders

Exchange-Traded Products

Market Participants

Registration Requirement

Rulemaking Process

Technology Sector

Confidential Information

European Commission

Murray v UBS Securities LLC

Shell Corporations

Business Entities

Chief Information Security Officer (CISO)

Corporate Officers

Hong Kong Stock Exchange

NPRM

Accredited Investors

Anti-Retaliation Provisions

Delaware General Corporation Law

Distributed Ledger Technology (DLT)

FHFA

First Amendment

Listing Standards

Material Nonpublic Information

Proxy Voting Guidelines

Digital Currency

Diversity and Inclusion Standards (D&I)

Institutional Investors

Internal Revenue Code (IRC)

Investment Firms

Investment Opportunities

Misappropriation

Task Force on Climate-related Financial Disclosures (TCFD)

Virtual Currency

Alternative Investment Fund Managers Directive (AIFMD)

Chief Compliance Officers

Confidentiality Agreements

Economic Sanctions

Employer Liability Issues

False Claims Act (FCA)

Financial Transactions

Pharmaceutical Industry

Prudential Regulation Authority (PRA)

Real Estate Investments

REIT

Self-Disclosure Requirements

Business Strategies

Corporate Crimes

European Banking Authority (EBA)

Foreign Investment

Hong Kong Securities and Futures Commission (HKSFC)

Institutional Shareholder Services (ISS)

Investment Contract

Investor Protection

New Regulations

Proposed Regulation

Regulatory Violations

Retirement Plan

Risk Mitigation

SBA

Shareholder Litigation

Shareholder Proposals

UBS

Administrative Proceedings

Business Ownership

Capital Formation

Carbon Emissions

Compliance Dates

Customer Due Diligence (CDD)

Data Protection

Department of Labor (DOL)

Environmental Policies

Financial Services Committee

GAAP

MNPI

NIST

Ontario Securities Commission (OSC)

Private Equity Funds

Proposed Legislation

Public Offerings

Retail Investors

SEC Examination Priorities

Shareholder Rights

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Law Judge (ALJ)

Biden Administration

Books & Records

Business Litigation

Compensation & Benefits

Consumer Lenders

Coronavirus/COVID-19

Criminal Penalties

Employee Retirement Income Security Act (ERISA)

Governance Standards

Market Manipulation

MD&A Statements

Non-Public Information

Securities Traders

Summary Judgment

Amended Regulation

Asset-Backed Securities

Capital Investments

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Continuing Legal Education

DE Supreme Court

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Derivatives Clearing Organizations

Enforcement Priorities

Environmental Protection Agency (EPA)

FEPA

Food and Drug Administration (FDA)

Investment Portfolios

NAV

NCUA

New Legislation

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Registration Statement

Regulatory Authority

Renewable Energy

Securities Dealers

Shareholder Activism

Statutory Violations

Sustainable Business Practices

XBRL Filing Requirements

Cease and Desist Orders

Commercial Bankruptcy

Debt Securities

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

Employment Contract

Executive Orders

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Financial Instruments

Foreign Corporations

Foreign Direct Investment

Foreign Entities

HKEx

Incentive Compensation

Incident Response Plans

Non-GAAP Financial Measures

Portfolio Managers

Privately Held Corporations

Securities Tokens

Securitization Standards

Seventh Amendment

Shareholder Meetings

Administrative Stay

Bankruptcy Code

Bankruptcy Court

CDIs

Clearing Agencies

Closed-End Funds

Commodities Traders

Corporations Code

Criminal Investigations

Data Collection

Department of Energy (DOE)

Digital Wallets

Entire Fairness Standard

Federal Contractors

Financial Services and Markets Act

Hiring & Firing

Information Reports

Information Technology

Judicial Review

Know Your Customers

Limited Partnerships

Merger Agreements

Motion to Dismiss

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

OECD

Personal Information

Protected Activity

Regulation Technical Standards (RTS)

Reverse Stock Splits

Securities Exchanges

Security-Based Swaps

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Terrorism Funding

Trading Policies

Alternative Investment Funds

Anti-Fraud Provisions

British Columbia Securities Commission

British Columbia Securities Commission (BCSC)

Business Disputes

Business Judgment Rule

Commerce Clause

Consumer Protection Act

Corporate Taxes

Cybersecurity Information Sharing Act (CISA)

Debt

Designated Contract Markets (DCMs)

Digital Securities

Dispute Resolution

Equity Securities

Export Controls

FATF

FSMA

General Data Protection Regulation (GDPR)

Initial Coin Offering (ICOs)

Innovative Technology

Insurance Industry

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Products

ISDA

Law Enforcement

Mortgage-Backed Securities

No-Action Letters

Passive Investments

Pay-for-Performance

Policy Statement

Political Contributions

Private Equity Firms

Private Right of Action

Quarterly Report

Regulation Best Interest

Repurchase Agreements

Serious Fraud Office (SFO)

SFDR

Shareholder Votes

SRO

Third-Party Risk

Total Shareholder Return (TSR)

401k

Accounting Standards

Activist Investors

AIFM

Antitrust Provisions

Appellate Courts

Benefit Plan Sponsors

CEOs

Class Certification

Commercial Litigation

Corporate Financing

Credit Facilities

Critical Infrastructure Sectors

Data Management

Department of Defense (DOD)

Early Stage Companies

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Adviser

Financial Regulatory Agencies

Foreign Exchanges

Foreign Issuers

Fourth Amendment

FSOC

General Corporation Law

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Indemnification

Inflation Reduction Act (IRA)

Instant Messaging Apps

Legislative Agendas

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Municipal Bonds

Non-Disclosure Agreement

Objective Falsity

OMB

Online Platforms

Predictive Analytics

Price Inflation

Prohibited Transactions

Public Meetings

Sanction Violations

SEC Comment Letter Process

Securitization Market

Shareholder Approval

Split of Authority

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Wealth Management

Acquisition Agreements

Aiding and Abetting

Anti-Kickback Statute

Arbitrary and Capricious

Arbitration Agreements

ASIC

Business Development

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CFOs

Chevron Deference

Compliance Management Systems

Compliance Monitoring

Congressional Review Act

Consultation Papers

Consumer Financial Protection Act (CFPA)

Corporate Entities

Corporate Sales Transactions

Corporate Securities Act

Corporate Structures

CPOs

Criminal Conspiracy

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Digital Platforms

Disciplinary Proceedings

EFTs

Electric Vehicles

EMIR

Energy Information Association (EIA)

Enforcement Authority

Equal Protection

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

Fees

FICC

Fraudulent Transfers

Freeze-Out Mergers

Government Investigations

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

HMRC

Individual Retirement Account (IRA)

Inflation Adjustments

Injunctive Relief

Institutional Investment

Internal Investigations

Internal Rate of Return (IRR)

Internal Reporting

Investment Fraud

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Material Misrepresentation

Monetary Authority of Singapore

Money Transmission Act

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Prejudgment Interest

Primary Residence

Private Investment Funds

Private Placements

Promissory Notes

Proposed Guidance

Public Consultations

Public Disclosure

Regular Business Communications

Restricted Stocks

Safeguards Rule

SAP America Inc.

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Small and Medium-Sized Enterprises (SMEs)

State and Local Government

Statutory Interpretation

Structured Finance

Subscription Services

Tax Exempt Entities

Terrorist Financing

Third-Party Service Provider

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Vulnerability Assessments

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Alberta Securities Commission

Anti-Terrorism Financing

Attorney General

Audit Committee

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development Companies

Business Divorce

Business Valuations

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

Centers for Medicare & Medicaid Services (CMS)

Central Bank Digital Currency (CBDCs)

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

Consolidated Audit Trail

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Management

Corporate Restructuring

Counter-Terrorist

Credit Agreements

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Identification Program (CIP)

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Derivative Suit

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

Emerging Technologies

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair-Notice Standard

FCC

Federal Arbitration Act

Federal Funding

Federal Housing Administration (FHA)

Federal Register

Federal Rules of Civil Procedure

Financial Fraud

Financial Promotions

Financial Reporting Council (FRC)

Financial Restatements

Financial Stability Board

Fixed Income Investments

Foreign Agents Registration Act (FARA)

Foreign Currency

Foreign Governments

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Guidance Update

Hart-Scott-Rodino Act

Health Insurance Portability and Accountability Act (HIPAA)