Securities Consumer Protection

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