Securities Consumer Protection

SEC CFPB Dodd-Frank CFTC Cybersecurity Broker-Dealer Investment Adviser Data Protection FINRA Enforcement Actions Banks FDIC Federal Reserve EU Compliance Data Breach OCIE Financial Institutions Mortgages Cyber Attacks Derivatives OCC Data Security Disclosure Requirements Financial Regulatory Reform Banking Sector FTC Popular Swaps European Securities and Markets Authority (ESMA) Personally Identifiable Information Risk Alert Data Privacy UK DOJ Hackers Class Action Regulation S-P RMBS Civil Monetary Penalty Cyber Incident Reporting Cyber Threats Enforcement Proposed Regulation Whistleblowers Qualified Mortgage Rule Reporting Requirements Security Risk Assessments Truth in Lending Act (TILA) European Banking Authority Financial Conduct Authority (FCA) Financial Markets Payday Loans Prudential Regulation Authority Risk Management Swap Dealers Diversity FHFA Fraud FSOC Identity Theft Rating Agencies Risk Assessment Securities Settlement Virtual Currency Bitcoin Brokers Corporate Governance European Commission Fiduciary Duty Foreign Banks JPMorgan Chase Policies and Procedures Comment Period Conflicts of Interest Investors Registered Investment Advisors Securities Exchange Act Volcker Rule Arbitration Board of Directors Capital Markets Cyber Crimes Debt Collection Due Diligence Executive Compensation Loans Major Swap Participants Preemption Proposed Legislation SEC Examination Priorities SIFIs Training Accredited Investors Australia Automotive Loans Conflict Mineral Rules Cyber Insurance Data Breach Plans Data Loss Prevention DOL Fair Housing Act (FHA) FCMs FCRA Incident Response Plans JOBS Act Margin Requirements No-Action Relief Publicly-Traded Companies Richard Cordray Stress Tests Vendors Cease and Desist Orders Commodities Consumer Financial Products Corporate Counsel CPO Crowdfunding EMIR Financial Sector FinCEN Investment Companies Investment Funds Investor Protection Legislative Agendas Mandatory Arbitration Clauses MiFID II No-Action Letters RESPA Risk Retention Sanctions Securities Fraud Security-Based Swaps SEFs Shadow Banking Shareholder Litigation Small Business Student Loans Target Threshold Requirements Anti-Money Laundering Best Practices Capital Requirements Consumer Lenders Credit Cards Credit Ratings Cross-Border Transactions Customer Funds Protection Derivatives Clearing Organizations Exemptions Freddie Mac Gramm-Leach-Blilely Act Hart-Scott-Rodino Act Investment Management Money Market Funds Mortgage-Backed Securities OMWI Recordkeeping Requirements Regulation Z SCOTUS Securitization Third-Party Third-Party Service Provider Ability-to-Repay AIFMD Amended Regulation Arbitration Agreements Asset-Backed Securities Bank of America Basel Committee Basel III Encryption Fannie Mae FDCPA FFIEC Filing Requirements Final Rules First Amendment Futures HMDA HUD Investment Company Act of 1940 IRS Mary Jo White MiFID Neither Admit Nor Deny Settlements NFA NIST NYDFS Prepaid Payment Products Proposed Amendments Prudential Standards Red Flags Rule Regulation A Regulation D Shareholders Stocks TILA-RESPA Integrated Disclosure Rule (TRID) U.S. Treasury UDAAP Wyndham Affordable Care Act Annual Reports Appeals Bank of England Chief Compliance Officers Class Action Arbitration Waivers Commodity Pool Community Banks Credit Reports Criminal Prosecution Deposit Insurance Derivative Suit Deutsche Bank Dispute Resolution Employer Mandates ERISA FCC Financial Services Industry Fixing America’s Surface Transportation Act (FAST Act) FOMC Foreclosure Free Identity Theft Protection Government Shutdown Guidance Update Hedge Funds Hiring & Firing Insider Trading Internal Controls Investigations Investment Advisers Act of 1940 IOSCO Joint Policy Statements Market Manipulation MSRB New Guidance New Regulations NYSE Online Marketplace Lending Penalties Registration Regulation SCI Regulatory Agencies Regulatory Standards Safe Harbors Securities Act of 1933 Whistleblower Protection Policies ABS Administrative Hearings Advertising Alternative Mutual Funds Antitrust Investigations ASIC Bank Holding Company Bank Secrecy Act Banking Regulators Breach of Duty C-Suite Executives Cease and Desist CFPA China Choke Point Citigroup CME Commercial Bankruptcy Commodities Exchange Act Comptroller Confidential Information Confidentiality Agreements Corporate Officers Credit Monitoring Creditors Cross-Border Cuba Custody Rule Cybersecurity Framework Data Collection Debt Ceiling Deposit Advances DSIO EDGAR EEA Elder Abuse Elder Issues Examination Priorities Fair Lending FATCA Federal Budget Financial Adviser Financial Products Financial Services Authority FinTech Form 10-K Form 8-K FSB FTC v Wyndham Funding Portal FX Swaps GAAP GAO Goldman Sachs Healthcare High Frequency Trading Incentive Compensation Industry Examinations Information Systems Security Program (ISSP) Infrastructure Insurance Industry Investment Firms Legislative Committees Lehman Brothers Lenders Libor Life Insurance Liquidity Coverage Ratio Madden v Midland Funding Market Participants Money Transfer Mortgage Lenders Mortgage Servicers Municipal Bonds Mutual Funds NASD National Futures Association NCUA Negligence New Legislation Non-Bank Lenders Nonbank Firms Pay Ratio Payment Systems Personal Data Personal Liability Privacy Notice Rule Privacy Policy Private Equity Private Equity Funds PSLRA Recess Appointments Recruitment Policies Regulation M Regulatory Agenda Remittance Transfer Rule Retail Market Risk Mitigation RTS Safeguards Rule Say-on-Pay Securities Litigation Segregated Funds Self-Reporting Sequestration SIFMA SLUSA Strategic Enforcement Plan Surveys Swap Execution Facilities Tax Reform TCPA The Clayton Act Transparency Unauthorized Access Unfair or Deceptive Trade Practices Valuation Websites Acquisitions Administrative Procedure Act Administrative Proceedings Algorithmic Trading ALJ Alternative Trading Systems American Meat Institute AML-CTF Analytics Annuities Antitrust Violations Appointments Clause Asset Management Audits Banking Crisis Barack Obama Barclays Blue Sky Laws Breach Notification Rule BrokerCheck BRRD Business Continuity Plans Cartels CCPs Chapter 11 Chapter 9 CISO Civil Investigation Demand Class Certification Collateralized Loan Obligations Consent Order Constitutional Challenges Consumer Financial Contracts Consumer Protection Act Continuing Resolution Countrywide Credit Default Swaps Credit Rating Agencies Credit Suisse Critical Infrastructure Sectors Cryptocurrency CSBS Cuban Assets Control Regulations (CACR) Customer Protection Rule Dark Pool Department of Financial Services Distressed Debt Distributed Denial of Service EAR Economic Development EEOC Enforcement Statistics Equity Markets ETFs Ethics EU Data Protection Laws European Central Bank Exchange-Traded Products Exploitation False Claims Act (FCA) FASB FCPA FDA Federal Contractors Federal Register FERC Financial Services Committee Financial Statements Fines FIRREA Flood Insurance For Profit Colleges Foreign Nationals Forex Form SD Fraud Alerts FRB Fund Managers Future Commission Merchants G-SIB Government Investigations Harry Reid Health Care Providers Home Depot Hong Kong Hurricane Sandy Incentive Stock Options Individual Accountability Information Governance Interest Rate Adjustments Interest Rates Intermediaries Internet Iran Sanctions Judge Rakoff Jurisdiction Leases Leverage Ratio Leveraged Loans Liability Insurance Living Will Make-Whole Premium Merrill Lynch MetLife MiFIR Mining Mobile Apps Money Laundering Moody's Morgan Stanley Mortgage Loan Originators Mortgage Loan Servicing Standards Municipal Advisers Municipal Bankruptcy Municipal Securities Market NASAA Nasdaq National Bank Act Nominations Non-GAAP Financial Measures NRSRO OCR OFAC Offerings Oil & Gas OTC Patents Payment Processors Payroll Cards Peer-to-Peer Pharmaceutical Industry Ponzi Scheme Privacy Laws Private Funds Private Student Loans Professional Misconduct Proxy Access Rule Public Disclosure Puerto Rico Quantitative Easing Real Estate Market Registration Requirement Regulation S-K Retail Investors Retailers Retirement Plan Reverse Mortgages Ring-Fencing Scienter Scottrade Securities Exchanges Self-Regulatory Organizations Senior Managers Servicing Policies Settlement Agreements Short Selling SIPA Social Media Spending Cuts Standing Startups Third-Party Risk Tibble v Edison Int Trade Market Abuse Trademarks U.S. Commerce Department UBS UCITS Unions Usury Variable Annuities Whistleblower Awards White Collar Crimes Yahoo! 21st Century Cures Initiative Accounting Standards Accreditation ACH Payments Administrative Appointments Adobe Affirmative Action Aggregation Rules AICPA Aiding and Abetting AIF AIFM AIG Alternative Fee Arrangements American Express v Italian Colors Restaurant Anthem Blue Cross Anti-Competitive Anti-Corruption Anti-Retaliation Provisions Antitrust Litigation APEC Appraisal AQM Article II Article III Ascertainable Class Asia Asset Valuations ATMs Attorney's Fees Attorney-Client Privilege Australian Securities and Investments Commission Auto Insurance Automotive Industry B2B Transactions Background Checks Bad Actors Bad Faith Baker Hughes Bank Fraud Bank Holding Company Act Bank of New York (BNY) Mellon Banking Reform Bankruptcy Code Barnes and Noble BE-180 Bebo v SEC Belgium Ben Bernanke Benchmarks Beneficial Owner Best Interest Contract Exemptions Bid Rigging BIS BitLicense BlackRock Breach of Contract Bring Your Own Device Broken Windows Brokerage Accounts Browsewrap Agreement BSA/AML Burwell v Hobby Lobby Business Conduct Standards CAFA CalPERS Canada Cancellation Rights Canning v NLRB Capital Estimation Tool Capital Formation Capital Investments Capital Raising Capital Rules CARD Act Catholic Church CDS CEA CEOs Chadbourne & Parke LLP v Troice Chamber of Commerce Chapter 15 Charles Schwab Checking Accounts Chief Risk Officers (CRO) CID CISPA Citibank Civil Penalty Fund Clawbacks Climate Change Coal Industry Collateralized Debt Obligations Collective Bargaining Comcast v. Behrend Commercial General Liability Policies Commercial Leases Commercial Loans Commercial Mortgage Securitization Commercial Real Estate Market Commodity Futures Contracts Compensation & Benefits Compensation Committee Competition Competition Authorities Complaint Procedures Complex Litigation Confidential Supervisory Information Confirmation Proceedings Conservators Conspiracies Consultation Periods Consumer Bankruptcy Consumer Price Index Consumer Reporting Agencies Consumer Service Agreements Content Aggregators Contract Terms Cooperation Copyright Corporate Executives Corporate Fines Corporate Liability Corruption Covered Banking Entity Covered Entities Covered Funds Credit Agreements Credit Card Agreements Credit Reporting Agencies Credit Unions CRQA CSDR Customer Service Standard Cybersecurity Examination Initiative Cybertheft D&O Insurance Damages Data Brokers Data Security Act DBRS De-Risking Death Master Files Debit Cards Debt Debt Buyers Debt Collectors Debt Market Debt Restructuring Debt Securities Debtors Declaratory Relief Deferred Prosecution Agreements Delays Deposit Accounts Depository Institutions Detroit DF-Protocol Dietary Supplements Digital Advertising Alliance Digital Services Director Removal Directors Disabled Disaster Preparedness Disclosure Discovery Discriminatory Lending Practices Disgorgement Disqualification Disruptive Trading Practices Distribution Rules Diversity and Inclusion Standards (D&I) Division of Investment Management DMCA DMO DOE Dow Jones DPA Draft Guidance Dukes v Wal-Mart Durbin Amendment Rules Duty of Care Duty of Loyalty Duty to Disclose E*Trade E-Commerce E-Filing EB-5 EBA eBay ECOA ECON Economic and Financial Affairs Council (ECOFIN) Economic Sanctions Educational Communications Rule EIOPA Electricity Electronic Communications Electronic Medical Records Elizabeth Warren Embargo Employee Training Employer Liability Issues Employment Contract Employment Policies En Banc Review Endangered Species Act (ESA) Energy Enforcement Attorneys Enforcement Authority Enforcement Guidance Equitable Estoppel Equity Financing Equity Investors Equity Plans Escheat Escrow Accounts ESOP EU Directive EU Market Abuse Regulation (EU MAR) EU-US Privacy Shield European Union Delegated Act (EUDA) Excessive Fees Experian Expungement Extensions Extortion Extraterritoriality Rules Facebook Falsified Documents Family Offices Farm Credit Administration Farms FATF Faxes FBI FBOs Federal Arbitration Act Federal Aviation Administration (FAA) Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Election Commission (FEC) Federal Housing Administration (FHA) Federal Savings Associations Federal Trade Commission Act Fee Agreements Fee-Shifting Fees FICC Fifth Amendment Final Guidance Financial Crimes Financial Crisis Financial Reporting Financial Stability Acts Financial Transaction Tax Fitch Fixed Income Investments Flash Boys FLSA Food Labeling Force-Placed Insurance Foreign Currency Foreign Direct Investment Foreign Exchanges Foreign Investment Form S-1 FPC Fraud-on-the-Market Fraudulent Concealment FSMA FTC Act Fund of Funds G20 Garnishment General Solicitation Gift-Cards Gifts Glass-Steagall Act GLBA Privacy Global Systemically Important Financial Institutions (GSIFI) GMRA Golden Leash Arrangements Google Governance Standards Government-Backed Loans Great Recession Green Chemistry GSE Halliburton Hallmark HAMP HERA HHS HM Treasury HOEPA Home Buyer Hospital Mergers Hospitality Industry Hospitals Hostile Takeover Hotels Hotlines Housing Finance Reform HSBC ICE IFRS Illegal Gratuities Indictments Inducements Inflation Adjustments Information Reports Information Security Information Statements Information Technology Infringement Injury-in-Fact Innovation Insurance Litigation Interim Rule Internal Investigations International Data Transfers International Harmonization International Tax Issues Interpretive Rule Investment Portfolios IP License IPO IRA ISDA Jamie Dimon Japan Job Creation John Roberts Jumpstart GSE Reform Act Junk Bonds Kamala Harris Kodak Law Enforcement Lead Generators Legal Entity Identifiers Lending Lending Club Letters of Intent Licensing Fees Liquidation Liquidity Risk Management Rule Loan Market Association Loan Modifications Loan Transfers Lobbyists Loss Coverage Loss Mitigation Loss Prevention Lost Profits Mandatory Clearing Requirements Manufacturers Market Abuse Market Access Rule Market Conditions Marketing Martin Shkreli Material Disclosures Material Misstatements MCDC Meals-Gifts-and Entertainment Rules Mediation Medical Research Member State Merger Controls Mergers Mexico Middle East Military Service Members Minimum Salary Minority-Owned Businesses Misappropriation Misleading Statements Misrepresentation MLO Licenses Mobile Devices Mobile Payments Money Services Business Mortgage Brokers Mortgage Escrow Account Mortgage Servicing Rules Motion to Dismiss Municipalities NAIC NAM National Association of Manufacturers Natural Disasters Natural Gas NEP NERA Netherlands Nike NLRB No-Action Requests Non-Cash Compensation Non-Practicing Entities Non-Profits Non-Prosecution Agreements Non-Public Information North Korea Notice Requirements Novation NPR NPRM NSA Obama Administration Office of Fair Trading Office of Personnel Management (OPM) OMB Online Gaming Operation Choke Point Overdraft Fees Passporting Patent Litigation Patent Trolls Patent-Eligible Subject Matter Patient Privacy Rights Pay-for-Performance Pay-To-Play PayPal PBGC Pending Legislation Penn State Pensions Peregrine Financial Group Permanent Injunctions Petition for Writ of Certiorari Phishing Scams Physicians Pleadings Policy Statement Political Appointments Political Scandals Position Limits Preliminary Injunctions Premerger Notifications Presidential Veto Press Releases Price Manipulation Privacy Concerns Private Investment Funds Private Offerings Private Placements Procurement Guidelines Professional Conferences Professional Liability Profits Property Insurance Proposed Rules Proposed Standards Proprietary Trading Proximate Cause Proxy Access Proxy Advisors