Securities General Business Administrative Agency

SEC Enforcement Actions FCPA Compliance ALJ Dodd-Frank DOJ Whistleblowers Administrative Proceedings CFTC Confidentiality Agreements Investment Adviser Administrative Hearings FCPA Resource Guide KBR (formerly Kellogg Brown & Root) Appointments Clause Broker-Dealer Whistleblower Protection Policies Internal Investigations Securities Securities Fraud Disclosure Requirements Insider Trading Securities Exchange Act Securities Violations Popular Corporate Counsel FINRA Disgorgement Financial Institutions Enforcement Financial Markets White Collar Crimes Article II Chief Compliance Officers Internal Controls JOBS Act SCOTUS Civil Monetary Penalty Whistleblower Awards Fraud Rule 21F Regulation A Securities Litigation Bribery Conflict Mineral Rules Settlement Swaps Bebo v SEC Investment Management Sarbanes-Oxley Due Process Misappropriation Sanctions Shareholders Appeals Audits C-Suite Executives Constitutional Challenges Derivatives Due Diligence EU Investment Advisers Act of 1940 Banking Sector Cease and Desist Orders Conflicts of Interest Statute of Limitations Financial Conduct Authority (FCA) Investors Municipal Bonds Regulatory Agenda Small Offering Exemptions Strategic Enforcement Plan UK Canada Executive Compensation Kokesh v SEC Reporting Requirements Securities Act of 1933 Banks CEA Cybersecurity Deferred Prosecution Agreements Judge Rakoff Mary Jo White New Guidance OCIE Proposed Amendments Proposed Regulation Publicly-Traded Companies Trump Administration Administrative Appointments Administrative Procedure Act Brokers China Corporate Officers FDIC Fiduciary Duty Financial Services Industry Government Investigations Illegal Tipping Investment Funds Material Nonpublic Information No-Action Relief Penalties Preliminary Injunctions Private Equity Public Offerings Registration Requirement Seventh Amendment Swap Dealers Volcker Rule Books & Records Capital Markets Collateralized Debt Obligations Custody Rule Disclosure False Statements Final Rules Financial Regulatory Reform Financial Statements FinCEN Investment Company Act of 1940 IPO MSRB Municipal Securities Issuers Municipalities Mutual Funds NLRB No-Action Letters OCC Prudential Regulation Authority Retaliation Risk Management US v Newman Wells Fargo Amended Regulation Anti-Corruption Auditors Australia Bad Actors CEOs Chevron Deference Contract Terms Corporate Governance Crowdfunding Depositions EEOC Eli Lilly Equal Protection European Securities and Markets Authority (ESMA) Federal Reserve Fees Fines Forum Selection High Frequency Trading Judicial Review Market Manipulation Material Misstatements MCDC Municipal Advisers PCAOB Personal Liability Private Equity Funds Risk Alert RMBS S&P Security-Based Swaps SEFs Self-Reporting Severance Agreements Transparency Waivers Administrative Authority Anti-Money Laundering Asset Management Basel Committee BHP Billiton Bitcoin Capital Formation Cease and Desist Commodities Commodities Exchange Act Commodity Pool Confidential Information Criminal Prosecution Cross-Border DOL Emerging Growth Companies En Banc Review Energy Sector Enforcement Statistics ETFs European Commission Exchange-Traded Products Federal Rules of Civil Procedure First Amendment Foreign Subsidiaries Goodyear Hedge Funds Hong Kong Major Swap Participants Misrepresentation Non-Delegation Doctrine Olympics Personal Benefit Professional Liability Proxy Season Proxy Statements Public Disclosure Rating Agencies Regulation D Risk Assessment Rule 10b-5 Rule 506 Offerings Rules of Practice Shareholder Proposals Small Business Subject Matter Jurisdiction Unregistered Brokers Virtual Currency Wal-Mart Whole Foods Accounting Controls Accounting Fraud Accredited Investors Acquisitions Alternative Investment Funds Alternative Mutual Funds Article I Bank Secrecy Act Best Interest Contract Exemptions Board of Directors Bonds Breach of Duty Canadian Securities Administration Charitable Donations Citigroup CMBS Commodity Futures Contracts Compensation Committee Consent Order Corporate Fines Discovery EDGAR EMIR Employee Handbooks Employment Contract End-Users Equity Securities ERISA Ethics European Banking Authority Evidence Financial Crisis Financial Reporting Form ADV Fund Managers Goldman Sachs Government Officials Injunctions Insurance Industry Investigations Investment JPMorgan Chase Jurisdiction Libor Loans MiFID II Municipal Securities Market NASAA NAV Negligence New Regulations Offering Fraud OIG OMB Ontario Securities Commission (OSC) Pay-for-Performance Pharmaceutical Industry Ponzi Scheme Prejudgment Interest Price Manipulation Private Funds Private Offerings Public Comment Recordkeeping Requirements Regulation S-K Regulation SHO Regulatory Standards Rulemaking Process Say-on-Pay SEC v Citigroup Securitization Serious Fraud Office SFO Shareholder Litigation Startups Stocks Third-Party Treasury Underwriting Wells Notice Administrative Fines Allianz Alstom Anti-Bribery Anti-Retaliation Provisions Asset-Backed Securities Audit Committee Automotive Industry Avon Bank Holding Company Act Bank of England Barclays Basel III Blue Sky Laws Boeing Breach of Contract Broken Windows BSA/AML Business Development Capital Gains Capital Raising Capital Requirements CFOs CFPB Clawbacks Comment Period Community Banks Cooperation Corporate Crimes Corporate Criminal Fines Corporate Issuers Corruption CPO Criminal Investigations CTA DCMs Department of Business Oversight Derivatives Clearing Organizations Deutsche Bank Disqualification Electronic Filing Eligible Contract Participant EMMA Employer Liability Issues Enforcement Authority Ernst & Young Examination Manual Examination Priorities Executive Orders Exemptions False Claims Act (FCA) False Reporting Federal Power Act Federal Register Federal Rules of Evidence FERC FFIEC Fiduciary Rule Fifth Amendment Filing Requirements Financial Services Authority FinTech FOIA Foreign Banks Foreign Investment Foreign Official Forfeiture Form D Filing Forum Fraud-on-the-Market FSB FSMA GAAP GAO General Electric Halliburton Halliburton v Erica P. John Fund Health Net Hospitality Industry Interpretive Letters Investment Firms IRS ISDA ISS Joint Venture Life Insurance Liquidity Risk Management Rule Market Participants Marketing Meals-Gifts-and Entertainment Rules Merrill Lynch Mining Money Market Funds Money Services Business Morgan Stanley Mortgage-Backed Securities Motion To Stay Neither Admit Nor Deny Settlements Non-Disclosure Agreement Non-Prosecution Agreements OECD Offerings Oil & Gas Omissions Omnicare v Laborers District Council Oppenheimer & Co. Pending Legislation Pensions Political Contributions Portfolio Managers Position Limits Presidential Elections Proposed Legislation Registered Investment Advisors Registration Regulatory Agencies Regulatory Oversight Resource Extraction Right to a Jury Risk Retention Rule 15B9-1 Rule 506(d) Safe Harbors Sales Commissions SEC Examination Priorities Section 17(a) Securities Act Securities Regulation Sponsors State and Local Government Subprime Mortgages Subsidiaries Supervision Supply Chain Suspicious Activity Reports (SARs) Technical Standards Total Shareholder Return (TSR) Trade Secrets Trust Preferred Securities UK Bribery Act Valuation Yates Memorandum 16(b) 529 Plans Abbott Laboratories ABS Accountants Accounting Adjudicatory Process Administrative Boards Administrative Resignation Administrative Review Board Admissions Adverse Employment Action Advertising Agency Deference Agents AIFM AIFMD Airbus Algorithmic Trading Ambush Election Rules Amended Rules American Bankers Association American Meat Institute Amicus Briefs Amnesty International Annual Meeting Annual Statements Annuities Anti-Fraud Provisions Appearance Policy Appropriations Bill Arbitrage Arbitration Arbitration Agreements Arthur Anderson ASIC Asset Freeze Asset Valuations Assisted Living Facility Attorney Generals Attorney's Fees Attorney-Client Privilege Aviation Industry Back Pay Bank Fraud Basic v Levinson Beneficial Owner Berkshire Hathaway Best Execution Best Interest Standard Best Management Practices Best Practices Bias Big Data Bio-Rad Laboratories BitLicense BizJet BlackRock Blockchain Borrowers BP Brazil Budgets Burma Business Continuity Plans Business Litigation C&DIs Capital Acquisition Broker (CAB) Capital Markets Act (CMA) Car Dealerships CBOE Certiorari Chamber of Commerce Charitable Organizations Churning CIRC Citibank Class Action Client Services Collateral Collateralized Loan Obligations Commercial End-User Exception Commercial Leases Commercial Paper Commodity Futures Modernization Act of 2000 (CFMA) Compensatory Damages Confidentiality Policies Consent Decrees Conservation Easements Constitutional Amendment Construction Industry Consultants Consumer Price Index Consumer Protection Act Consumer Service Agreements Contempt Contract Drafting Control Person Convictions Corporate Bonds Corporate Financing Corporate Misconduct Corporations Code Cost-Sharing Counterparties Countrywide CPOs Credit Ratings Criminal Penalties Criminal Records Cross-Border Transactions Cyber Attacks Dallas Airmotive Dark Pool Data Use Policies Deadlines Debt Securities Decision-Making Process Defend Trade Secrets Act (DTSA) Deficiency Notices Delays Deloitte Democratic Republic of Congo Department of Agriculture Department of Financial Services Deregulation Destruction of Evidence DF-Protocol DHS Directors Dirks v SEC Discovery Rule Dispute Resolution Distribution Rules Dividends DMV Document Productions Duty of Care E*Trade E-Filing Earned Income Tax Earnings Reports EBITDA Economic Impact Analysis Electronic Blue Sheets Employee Benefits Employment Policies Enron Entrepreneurs Environmental Liability Equity Markets European Central Bank Exclusive Jurisdiction Exclusive Remedy Expert Witness Export Controls Exports Extraterritoriality Rules Failure To Disclose Fair and Effective Markets Review (FEMR) Fair Housing Act (FHA) False Advertising Falsified Documents Farm Loans Farms FATF FCMs FDA Federal Bank Regulatory Agencies Federal Pilot Programs Federal Rule 12(b)(1) Fee Disclosure Fee-Splitting FICC Filing Deadlines Final Judgment Financial Action Task Force Financial Adviser Financial Crimes Financial Fraud FINRA Hearing Panel First Derivative Traders Fixed Income Investments Fixing America’s Surface Transportation Act (FAST Act) Flood Insurance Flood Zones FMR LLC Fokker Football Foreign Affiliates Foreign Entities Forex Forfeiture Statutes Form 10-K Form 10-Q Form N-Cen Form N-PORT Form PF Form S-8 Former Employee Fourteenth Amendment Fraudulent Concealment Freddie Mac Front Pay FSA Fund Expenses Fund Sponsors Fundraisers Future Commission Merchants FX Forwards FX Swaps GAAS Gabelli v SEC General Fund General Solicitation Germany GMAC Going-Private Transactions Golden Parachutes Good Faith Governance Standards Guidance Update Guilty Pleas Gun Manufacturers Harmless Error Harvard Law School Healthcare Fraud Hearsay Herballife HKEx HM Treasury Honeycutt v. United States Hong Kong Stock Exchange Howey HSBC Human Resources Professionals Immunity Incentive Compensation Indemnification Clauses Index Contracts Indictments Individual Accountability Information Reports Injunctive Relief Inspector General Institutional Investors Insurance Contracts Interest Rate Swaps Interlocutory Appeals Internal Audit Functions Internal Reporting Internet Internet Service Providers (ISPs) Interpretive Opinions Investment Companies Investment Fraud Investment Portfolios Janus Capital Group Japan Joint and Several Liability Joint Employers Jury Trial Justice Scalia KPMG Kraft LabCFTC Larger Participant Lawson v FMR Layne Christensen Co Legal History Legislative Agendas Liability Insurance Limited Liability Company (LLC) Limited Partnerships Liquidity Liquidity Coverage Ratio M&A Brokers Mail Fraud Management Fees Mandatory Arbitration Clauses Manufacturers Mark Cuban Market Access Rule Material Disclosures McDonnell v US McGraw Hill Media Medical Devices Membership Interest Memorandum of Agreement Memorandum of Understanding Mergers Mexico Miami Minerals Ministry of Finance Misleading Statements Monetary Authority of Singapore Money Laundering Moratorium Morrison v National Australia Bank Mortgage REITS Municipal Employees NAM NAM v SEC NASD Nasdaq National Association of Manufacturers National Futures Association Nationwide Insurance Co. Natural Gas Natural Gas Act New Amendments New England Patriots New Legislation NFA NFL NIST NLRA NLRB General Counsel Nominations Non-US Entities Notice and Comment NPRM Nu Skin OCR Offering Documents Offering Statements Office of Administrative Law Offshore Banks Ontario Oracle Oral Communications Order Routing OSHA OTC Passports Pay Ratio Payment Systems PBSJ Corporation Peer-to-Peer Pension Funds Permanent Injunctions Personal Care Products PHH Corp. v CFPB Pipelines Pre-Employment Agreements Presidential Veto PricewaterhouseCoopers Private Investment Funds Private Right of Action Professional Conferences Professional Misconduct Proprietary Trading Prospectus Protected Activity Provincial Capital Markets Act Proxy Access Rule Proxy Voting Guidelines Prudential Standards Public Officials Public Pension Public Relations Publishers Pump and Dump Qualified Purchaser Real Estate Investments Real Estate Market Referral Fees Registered Investment Companies (RICs) Registration Statement Regulation AB Regulation M Regulatory Burden Regulatory History Regulatory Reform Regulatory Requirements Removal Reporting Modernization Rules Request for Examination Required Forms Rescission Retail Banks Retail Investors Retirement Plan Reversal Ring-Fencing Risk Mitigation Rule 10(b) Rule 105 Rule 147 Rule 147A Rule 15c2-12 Rule 2210 Rule 23(b)(2) Rule 501 Rule 502 Rule 701 Rule G-37 Russia Sales & Use Tax SAR SBIC Scams Scienter SEC Commissioner Section 16 Section 504 Securities Exchanges Securities Financing Transactions (SFTs) Securitization Market Securitization Vehicles Segregated Funds Self-Regulatory Organizations Senate Banking Committee Separation of Powers Settlement Agreements SFC Shadow Banking Share Classes Sherman Act Short Sales SIFIs SIFMA Singapore Singapore Exchange Small Cap Stocks Smith & Wesson Solicitor General Split of Authority Spoofing SRO Stays Stock Options Stock Trades Stock-Based Compensation Stress Tests Successor Liability Suitability Requirements Summit Energy Sunshine Act Surveys Swap Agreements Swap Clearing Swap Data Repositories Swap Market Takings Clause Tax Code Tax Court Tax Policy Tax Revenues Technology Technology Sector Tick Size Tier 2 Offerings Tippees Tolling Tom Brady Toronto Stock Exchange Trade Suspensions Trading Platforms Transacting Intrastate Business Transfer Agents Transparency Directive Tribunals U.S. Treasury UAE UCITS Unions Universal Proxy Cards Upjohn Warnings Utilities Sector Variable Annuities Venezuela Venture Capital Voluntary Disclosure Voting Rights Wall Street Journal Webinars Willful Misconduct Wire Fraud WKSIs Work Suspensions WorldCom Young Lawyers