Securities General Business Finance & Banking

SEC EU CFTC Dodd-Frank Financial Markets Compliance Enforcement Actions FINRA Investment Adviser European Securities and Markets Authority (ESMA) UK Disclosure Requirements Broker-Dealer Swaps Financial Institutions Banks Financial Sector Banking Sector Securities Derivatives JOBS Act Reporting Requirements Investors Popular FCPA Financial Conduct Authority (FCA) Investment Funds RMBS Federal Reserve Securities Exchange Act Crowdfunding Insider Trading EMIR Shareholders Enforcement DOJ China Cybersecurity Securities Fraud Swap Dealers Fiduciary Duty Hedge Funds FDIC Corporate Governance Private Equity AIFMD IPO Capital Markets Proposed Regulation European Commission Fraud MiFID II Chief Compliance Officers Financial Regulatory Reform No-Action Relief OCC Whistleblowers Commodities Investment Management Startups Securities Act of 1933 OCIE Investment Executive Compensation Final Rules Mutual Funds Regulation D Volcker Rule Publicly-Traded Companies Asset Management Foreign Investment Rating Agencies Canada Investment Advisers Act of 1940 Major Swap Participants European Banking Authority Prudential Regulation Authority SCOTUS Board of Directors Mortgages Conflicts of Interest No-Action Letters DOL CFPB RTS Bonds UCITS Capital Requirements OTC IOSCO Risk Management Audits Investment Company Act of 1940 Recordkeeping Requirements Stocks ERISA Financial Services Industry Exemptions Settlement ISDA Corporate Counsel Registration Cross-Border Insurance Industry Regulation A Brokers Commodities Exchange Act Hong Kong IRS Margin Requirements Australia Accredited Investors Ethics MiFID Private Equity Funds Small Business Capital Raising Regulation S-K Venture Capital AIFM Proposed Amendments JPMorgan Chase Registration Requirement Anti-Money Laundering Basel Committee Public Offerings Filing Requirements Money Market Funds Rule 506 Offerings Transparency Bitcoin Regulatory Agenda Regulatory Standards Bribery Cross-Border Transactions Fund Managers Securitization Security-Based Swaps UK Brexit Financial Statements Emerging Growth Companies Risk Retention Sarbanes-Oxley Acquisitions Asset-Backed Securities General Solicitation Private Placements Regulatory Oversight Sanctions Stress Tests Internal Controls MSRB Retirement Plan Appeals Arbitration Class Action Deutsche Bank FinCEN Risk Assessment U.S. Treasury ETFs Libor NFA Trading Platforms Foreign Banks Nasdaq Safe Harbors Underwriting Breach of Duty Oil & Gas Virtual Currency Investment Companies Securities Litigation Criminal Prosecution GAAP Moody's Municipal Advisers Offerings PCAOB Collateralized Debt Obligations NYSE Private Funds CCPs Commercial Bankruptcy FCMs Financing Mary Jo White Municipal Bonds White Collar Crimes Pensions CPO High Frequency Trading Loans Mergers Capital Formation Clawbacks Due Diligence Fitch Goldman Sachs ISS Proxy Statements Securities Violations US v Newman CPOs Derivatives Clearing Organizations DSIO Illegal Tipping New Regulations DBRS Foreign Exchanges Market Manipulation Market Participants Morgan Stanley Proprietary Trading Anti-Corruption Corporate Officers Bank of America Basel III Capital Markets Union CMBS MiFIR Public Disclosure SEFs Energy Sector Financial Reporting Futures Comment Period Conflict Mineral Rules Employee Benefits Hedging Proxy Voting Guidelines Bank of England Collateralized Loan Obligations Directors European Central Bank FHFA FinTech FSB Interest Rates Shareholder Litigation Trustees Whistleblower Awards BRRD Commodity Pool EU Market Abuse Regulation (EU MAR) Strategic Enforcement Plan Algorithmic Trading Barclays CEA Disgorgement Wells Fargo Civil Monetary Penalty Fees FSOC Registration Statement BSA/AML CTA Form ADV Liquidity Member State Personal Benefit Spoofing Structured Financial Products Trump Administration Whistleblower Protection Policies Alternative Investment Funds Bank Holding Company Benchmarks C-Suite Executives End-Users Shareholder Proposals Valuation Disclosure Equity Financing New Guidance Solvency II Confidential Information Credit Ratings Fiduciary Rule Fixing America’s Surface Transportation Act (FAST Act) Money Laundering Pharmaceutical Industry Public Comment S&P Citigroup EDGAR EEA Exchange-Traded Products Incentive Compensation Mortgage-Backed Securities Municipal Securities Issuers Municipalities Risk Mitigation Rulemaking Process SIFMA Amended Regulation Auditors Consumer Financial Products Corruption Entrepreneurs Material Misstatements Material Nonpublic Information Misrepresentation Non-GAAP Financial Measures Pay-To-Play REIT Annual Reports ASIC Breach of Contract C&DIs Data Protection Deadlines Funding Portal MCDC Administrative Hearings Bad Actors Cyber Attacks Financial Instruments Funding Market Abuse Omnicare v Laborers District Council Portfolio Managers SEC Examination Priorities Bank of New York (BNY) Mellon CME Consumer Lenders Credit Suisse Deferred Prosecution Agreements Germany New Legislation Private Offerings Proxy Access Rule Proxy Season Rule 144A Advertising Capital Requirements Regulation (CRR) EBA EIOPA Financial Adviser FSMA Penalties Self-Reporting Shadow Banking Books & Records Commodity Futures Contracts Credit Default Swaps Income Taxes Jurisdiction Motion to Dismiss Social Media Blue Sky Laws Filing Deadlines Guidance Update HSBC Marketing Omnicare Prospectus Registered Investment Advisors Regulation Technical Standards (RTS) Bank Secrecy Act Blockchain Confidentiality Agreements Dark Pool Data Breach Debt Securities Economic Development Equity Securities Financial Crisis Forex Form 10-K Industry Examinations Institutional Investors Legislative Agendas Pay-for-Performance Ponzi Scheme Proposed Legislation SIFIs Singapore Small Offering Exemptions Statute of Limitations Swap Clearing Canadian Securities Administration False Statements Investment Portfolios Japan Lenders Pay Ratio Preemption Risk Alert Rule 506(c) Section 11 Supervision Trust Preferred Securities CEOs Corporate Culture Custody Rule Insolvency Internal Investigations Internal Revenue Code (IRC) IRA Memorandum of Understanding NCUA Securities Exchanges Technical Standards Transparency Directive Digital Currency ECON Fannie Mae Job Creation NAV Ontario Securities Commission (OSC) Proxy Advisors Real Estate Market Remuneration Subsidiaries Technology UBS Asia Automotive Industry Bankruptcy Code Bylaws Equity Markets Foreign Currency HM Treasury Hong Kong Securities and Futures Commission (HKSFC) Initial Public Offerings Liquidity Risk Management Rule Mandatory Clearing Requirements National Futures Association Russia Shareholder Activism Swap Execution Facilities Third-Party Uncleared Swaps Yahoo! Young Lawyers Cease and Desist Orders Corporate Issuers Counterparties Dividends Employer Liability Issues Investigations Real Estate Investments Referendums Repurchases Retirement SMEs Threshold Requirements Central Counterparties Creditors Dismissals Diversity Freddie Mac Investment Banks Listing Standards Merger Agreements Regulation S-X Securities Act Shareholder Rights Stock Exchange Technology Sector Third-Party Service Provider Tippees Total Shareholder Return (TSR) UK Bribery Act Administrative Proceedings Block Trades Credit Rating Agencies Data Security FASB Government Investigations Hackers IFRS Indictments Interest Rate Swaps ISDA Master Agreement Lehman Brothers Merrill Lynch Mining Online Marketplace Lending Professional Liability Say-on-Pay Structured Finance ABS Beneficial Owner Best Interest Contract Exemptions Clearing Agencies Countrywide EU Directive Foreign Official Interest Rate Adjustments Liquidity Coverage Ratio Luxembourg Misappropriation Prudential Standards Retail Investors Rule 10b-5 US v Salman Affiliates AML-CTF Arbitration Agreements Business Continuity Plans Controlling Stockholders Cross-Selling Data Collection Debt Restructuring FERC Fixed Income Investments Hong Kong Stock Exchange Investment Firms Investor Protection Italy Municipal Securities Market Natural Gas Notice Requirements Securitization Vehicles Settlement Agreements Summary Judgment Waivers 401k Anti-Bribery Corporate Taxes Disruptive Trading Practices Equity Compensation Foreign Corporations Foreign Direct Investment Form 8-K Forward Contracts FTC G-SIB Liquidity Fees NASAA NASD Non-Public Information Packaged Retail And Insurance-Based Investment Products (PRIIPS) Peer-to-Peer Personal Liability Position Limits Presidential Elections Price Manipulation Securities Financing Transactions (SFTs) Serious Fraud Office Suspicious Activity Reports (SARs) Websites Anti-Retaliation Provisions Bank Holding Company Act Benefit Plan Sponsors Business Development Business Development Companies Chapter 11 CRD IV Directive EBITDA Facebook False Claims Act (FCA) Federal Register Fines Investment Fraud Life Insurance Limited Liability Company (LLC) Nonbank Firms NY Supreme Court Partnerships Payment Systems Portfolio Companies Registered Investment Companies (RICs) Resource Extraction SFC Swap Market Tender Offers Trust Indenture Act Unregistered Brokers ALJ Appraisal Capital Gains Commercial Real Estate Market Community Banks Covered Bonds Derivative Suit Designated Contract Market Dirks v SEC Form N-PORT France G20 Implementing Technical Standards (ITS) Legal Entity Identifiers Liquidation Mortgage Lenders NYDFS OECD OFAC Pending Legislation Political Contributions Private Investment Funds Representations and Warranties Retaliation Ring-Fencing Rule 147 Securities Regulation Terrorism Funding Tippers Valeant Venture Funding Asset Valuations BaFin Bank Accounts BEA Collective Investment Schemes Commodity Broker Corporate Bonds Corporate Financing CSSF Debt Debt Financing Delaware General Corporation Law Disqualification DMO EB-5 Electronic Trading Examination Priorities Foreign Private Issuers Form N-Cen Hiring & Firing HUD Institutional Investment Minority Shareholders Redemption Gates SPVs Stock Options Title III Volkswagen Withholding Tax Accounting Controls Administrative Appointments Auto Manufacturers Compensation Agreements Consultation Convertible Debt Covered Swap Entities (CSE) Depository Institutions Distressed Debt Electricity Energy Market Enforcement Statistics Equity Plans Extraterritoriality Rules Glass Lewis Inflation Adjustments Ireland Limited Partnerships New Amendments Non-Prosecution Agreements Pension Funds Qualified Client Real Estate Development Regulation SCI Regulatory Agencies Retail Market Retailers Rule 14a-8 Scienter Securitization Market Short Sales Stock Markets Telecommunications Third-Party Risk Trade Market Abuse Trade Options US Bank Voting Rights Wal-Mart Accounting Fraud AIF BCBS Big Data BitLicense CBOE Contract Terms Default Family Offices Foreclosure Foreign Affiliates Forum Selection Fraudulent Transfers HKEx London Stock Exchange NPRM PRA Putative Class Actions Regulation AB SAR SnapChat Stock Drop Litigation Trade Repositories Truth in Lending Act (TILA) Unregistered Securities Variable Annuities Advisory Contracts Alternative Trading Systems Automotive Loans BIS Business Valuations Code of Conduct Compensation Committee Corporate Social Responsibility Covered Entities Deposit Insurance Economic Sanctions Employment Contract Exemptive Relief Failure To Disclose FATCA Financial Crimes Financial Services Authority Floating NAV Foreign Nationals FX Swaps General Electric Global Economy Golden Leash Arrangements Google Greece Housing Market Information Reports Innovation International Arbitration Joint Venture Judge Rakoff KBR (formerly Kellogg Brown & Root) Lending Loss Causation Mexico Mortgage Credit Directive (MCD) Multinationals Negligence Offering Fraud Outsourcing Payday Loans Policies and Procedures Privately Held Corporations Proxy Access Required Documentation Required Forms RICs Royal Bank of Scotland Saudi Arabia Section 10(b) Senior Managers Special Purpose Vehicles Stock Purchase Agreement Stock Repurchases Supply Chain Tax Evasion Tax Reform Time Extensions Uber Whole Foods Wire Fraud Accounting Administrative Procedure Act AMF Angel Investors Annuities Apple Audit Committee Bail-In Provisions Bear Sterns Bernie Madoff Best Interest Standard Bilateral Investment Treaties Class Certification Compensation & Benefits Corporate Misconduct Credit Agreements Credit Cards Cyber Crimes DCMs De Minimus Quantity Exemption Debtors Duty of Care Energy European Supervisory Authorities (ESAs) Fair and Effective Markets Review (FEMR) FATF Fee-Shifting Final Guidance Form 10-Q FRB G-SII Good Faith Healthcare High-Yield Markets Individual Accountability Intermediaries International Banks International Tax Issues Kraft Legislative Committees Leveraged Loans Licenses Listing Rules Management Fees Market Making Personally Identifiable Information Proposed Rules Puerto Rico Qualified Mortgage Rule REMIT Severance Agreements SFO Standing Swap Agreements Swing Pricing Tax Deductions Tesla UK Competition and Markets Authority (CMA) Ukraine Umbrella Registration Wall Street Yates Memorandum Aggregation Rules AIG Airlines Alstom Alternative Investment Fund Managers Directive Annual Meeting Asset Diversification Attorney's Fees Benchmarking Borrowers Collateral Consent Order Contract Drafting Contract Interpretation Credit Unions Cryptocurrency Cybersecurity Framework Debt Market Distributed Ledger Distribution Rules Elder Issues Elon Musk ELTIF ESOP Federal Pilot Programs FFIEC FIfth Third Bancorp v Dudenhoeffer Finders Foreign Jurisdictions Foreign Subsidiaries Form BE-10 Global Market High Net-Worth ICSID IMF Infrastructure Kickstarter Leverage Ratio Leveraged Buyout Licensing Rules Life Sciences Manufacturers MetLife NIST Nvidia Offshore Funds Oil Prices Pleading Standards Professional Conferences Regulation SHO Reversal Rule 21F SBA Share Buybacks Silicon Valley Special Purpose Entities Statement of Opinion Swap Data Repositories Tax Rates Tier 2 Offerings Title VII Utilities Sector Accounting Standards Acquisition Agreements AIFS Alibaba Amazon Marketplace Appointments Clause Argentina Avon Banking Crisis Best Practices BlackRock Brokerage Accounts Business Formation CalPERS CFOs Citibank Climate Change Closed-End Funds Committee on Payments and Market Infrastructure (CPMI) Competition Cooperation Corporate Sales Transactions Data Privacy Debt Collection Dell Director Compensation Early Stage Companies Emerging Technology Companies Employee Stock Purchase Plans Federal Arbitration Act FIFA Foreign Entities Form D Filing Form PF Form S-1 Form SD General Motors Government Officials Halliburton v Erica P. John Fund Harmonization Rules Hotels India Internal Reporting Latin America Liability Insurance Mandatory Arbitration Clauses Meals-Gifts-and Entertainment Rules Meeting Minutes Metals Non-Cleared Swaps Non-US Entities OCR Panama Papers Peer Review Performance Fee Rule Prejudgment Interest Private Equity Firms Private Right of Action Public Pension Qualcomm RBS Regulation AT Regulation FD Regulation S Related Parties Renewable Energy Residual Interest Restructuring RQFII Rule 504 Sales Commissions Section 546(e) Secured Debt Seed Financing Short Selling Sovereign Debt Student Loans Subprime Mortgages Takeover Bids Tax-Exempt Bonds Tick Size Title IV Trade Policy Training Transacting Intrastate Business U.S. Commerce Department Voluntary Disclosure Wash Trades World Bank XBRL Filing Requirements Alternative Mutual Funds Amended Legislation Anti-Competitive Arbitrage Arbitration Awards Asia Pacific Attorney-Client Privilege Bailout Banking Examinations Biotechnology Brazil Broken Windows Business Judgment Rule Cease and Desist Change in Control Commercial Leases Corporate Management COSO Criminal Investigations CSDR CSRC Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Department of Financial Services Dow Jones Draft Guidance Due Process EFTs