Browse Related Topics For:

Securities › Criminal Law › Securities

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Investment Adviser

Publicly-Traded Companies

Enforcement Actions

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Securities Fraud

Beneficial Owner

CFTC

Securities Exchange Act

Securities Litigation

Corporate Transparency Act

Greenhouse Gas Emissions

Financial Institutions

Risk Management

Regulatory Agenda

Artificial Intelligence

Investment Advisers Act of 1940

Regulatory Requirements

Securities Exchange Act of 1934

UK

Capital Markets

Financial Industry Regulatory Authority (FINRA)

Board of Directors

Anti-Money Laundering

EU

Special Purpose Acquisition Companies (SPACs)

Initial Public Offering (IPO)

Financial Conduct Authority (FCA)

Investment Management

Securities Act of 1933

White Collar Crimes

Foreign Corrupt Practices Act (FCPA)

Insider Trading

Investment Funds

Corporate Social Responsibility

Registered Investment Advisors

Financial Markets

Cyber Incident Reporting

Whistleblower Protection Policies

Recordkeeping Requirements

Financial Regulatory Reform

Policies and Procedures

Macquarie Infrastructure Corp v Moab Partners LP

Crypto Exchanges

Financial Crimes

Corporate Counsel

Anti-Corruption

Investment Company Act of 1940

Conflicts of Interest

Stock Repurchases

Misrepresentation

Money Laundering

Venture Capital

Bank Secrecy Act

Regulatory Oversight

Misleading Statements

Federal Trade Commission (FTC)

Regulatory Reform

Consumer Financial Protection Bureau (CFPB)

National Security

Risk Assessment

ETFs

Criminal Prosecution

European Securities and Markets Authority (ESMA)

Federal Reserve

Financial Statements

Putative Class Actions

Civil Monetary Penalty

Filing Deadlines

Asset Management

IRS

Whistleblower Awards

Failure To Disclose

Material Misstatements

Decentralized Finance (DeFi)

Machine Learning

Office of Foreign Assets Control (OFAC)

Securities Transactions

Bank of England

Corporate Misconduct

Emerging Growth Companies

FDIC

Investment Companies

Canadian Securities Administration

Capital Raising

Executive Compensation

False Statements

OCC

Suspicious Activity Reports (SARs)

Controlling Stockholders

Electronic Communications

Filing Requirements

Regulatory Standards

Smaller Reporting Companies

Commodity Exchange Act (CEA)

Financial Reporting

Foreign Private Issuers

NYSE

Climate Action Plan

Constitutional Challenges

Consumer Financial Products

Corporate Issuers

FHFA

Internal Controls

Prudential Regulation Authority (PRA)

Trading Platforms

Administrative Procedure Act

FBI

Futures Commission Merchants (FCMs)

NDAA

NPRM

Proposed Amendments

Rulemaking Process

Voluntary Disclosure

Adverse Employment Action

Confidential Information

Corporate Officers

Exchange-Traded Products

Non-Fungible Tokens (NFTs)

Proxy Statements

Registration Requirement

Shell Corporations

Internal Revenue Code (IRC)

Limited Liability Company (LLC)

Market Participants

Murray v UBS Securities LLC

Unregistered Securities

Alternative Investment Fund Managers Directive (AIFMD)

Business Entities

Delaware General Corporation Law

Department of Labor (DOL)

European Commission

Hong Kong Stock Exchange

Misappropriation

Technology Sector

Accredited Investors

Diversity and Inclusion Standards (D&I)

Exempt Reporting Advisers (ERAs)

Listing Standards

Material Nonpublic Information

Virtual Currency

Digital Currency

Employee Retirement Income Security Act (ERISA)

Employer Liability Issues

Institutional Investors

Investment Firms

Pharmaceutical Industry

Risk Mitigation

Shareholder Litigation

Task Force on Climate-related Financial Disclosures (TCFD)

Anti-Retaliation Provisions

Capital Formation

Customer Identification Program (CIP)

Data Protection

DE Supreme Court

Distributed Ledger Technology (DLT)

Economic Sanctions

False Claims Act (FCA)

First Amendment

Investment Opportunities

Investor Protection

Private Equity Funds

Proposed Legislation

Proxy Voting Guidelines

Biden Administration

Business Ownership

Chief Compliance Officers

Confidentiality Agreements

Corporate Crimes

Customer Due Diligence (CDD)

Financial Services Committee

Financial Transactions

Foreign Investment

NCUA

Non-Public Information

Ontario Securities Commission (OSC)

Real Estate Investments

Regulatory Violations

Retail Investors

Retirement Plan

SBA

Self-Disclosure Requirements

Shareholder Proposals

State Attorneys General

UBS

Amended Regulation

European Banking Authority (EBA)

Hong Kong Securities and Futures Commission (HKSFC)

Incident Response Plans

Investment Contract

New Regulations

Notice of Proposed Rulemaking (NOPR)

Proposed Regulation

REIT

Securities Traders

Smart Contracts

Sustainable Business Practices

Unconstitutional Condition

Administrative Proceedings

Bankruptcy Court

Books & Records

Business Strategies

Carbon Emissions

Chief Information Security Officer (CISO)

Commercial Bankruptcy

Coronavirus/COVID-19

Environmental Policies

Food and Drug Administration (FDA)

Governance Standards

Institutional Shareholder Services (ISS)

MNPI

New Legislation

Portfolio Companies

Proxy Advisory Firms

Public Offerings

Registration Statement

SEC Examination Priorities

SFDR

Shareholder Rights

Administrative Law Judge (ALJ)

Business Litigation

Commodity Trading Advisors (CTAs)

Compensation & Benefits

Compliance Dates

Consumer Lenders

Criminal Penalties

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Entire Fairness Standard

FEPA

Financial Instruments

Financial Services and Markets Act

GAAP

Market Manipulation

MD&A Statements

Merger Agreements

Motion to Dismiss

Ownership Interest

Regulatory Authority

Securities Dealers

Seventh Amendment

Statutory Violations

Summary Judgment

Asset-Backed Securities

Bankruptcy Code

Business Judgment Rule

Cease and Desist Orders

Derivatives Clearing Organizations

Enforcement Priorities

Environmental Protection Agency (EPA)

Executive Orders

HKEx

Investment Portfolios

Judicial Review

Limited Partnerships

Political Contributions

Portfolio Managers

Prohibited Transactions

Renewable Energy

Securities Exchanges

Securities Tokens

Terrorism Funding

Administrative Stay

AIFM

Capital Investments

Closed-End Funds

Commercial Litigation

Corporations Code

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

Employment Contract

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

Foreign Entities

Information Technology

Innovative Technology

Intellectual Property Protection

Know Your Customers

NAV

NIST

Non-GAAP Financial Measures

Personal Information

Policy Statement

Protected Activity

Regulation Technical Standards (RTS)

Securitization Standards

Shareholder Activism

Shareholder Meetings

Shareholder Votes

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Trading Policies

XBRL Filing Requirements

Chamber of Commerce

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Sales Transactions

Corporate Taxes

Criminal Investigations

Cybersecurity Information Sharing Act (CISA)

Data Collection

Debt

Debt Securities

Department of Energy (DOE)

Derivative Suit

Designated Contract Markets (DCMs)

Digital Securities

Digital Wallets

Early Stage Companies

Export Controls

FATF

Federal Contractors

Foreign Exchanges

Fraudulent Transfers

Freeze-Out Mergers

General Data Protection Regulation (GDPR)

Hiring & Firing

Incentive Compensation

Individual Retirement Account (IRA)

Information Reports

Initial Coin Offering (ICOs)

Insurance Industry

Investment Products

ISDA

Law Enforcement

Legislative Agendas

Money Transmitter

Mortgage-Backed Securities

Non-Prosecution Agreements

OECD

Passive Investments

Private Equity Firms

Privately Held Corporations

Quarterly Report

Regulation Best Interest

Reverse Stock Splits

Securities Settlement Cycles

Serious Fraud Office (SFO)

SRO

Third-Party Risk

Wealth Management

Accounting Standards

Alternative Investment Funds

Anti-Fraud Provisions

Antitrust Provisions

British Columbia Securities Commission

Business Disputes

CEOs

Class Certification

Clearing Agencies

Consumer Financial Protection Act (CFPA)

Continuing Legal Education

Corporate Financing

Critical Infrastructure Sectors

Department of Defense (DOD)

Dispute Resolution

Entertainment Industry

European Parliament

FASB

Federal Acquisition Regulations (FAR)

Fees

Fifth Amendment

Financial Adviser

Foreign Issuers

Fourth Amendment

FSMA

Government Securities

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

IFRS

Inflation Reduction Act (IRA)

Instant Messaging Apps

Long-Term Investment Funds

Major Swap Participants

Multidistrict Litigation

Municipal Bonds

No-Action Letters

Non-Disclosure Agreement

Notice Requirements

Objective Falsity

OMB

Online Platforms

Operating Agreements

Pay-for-Performance

Price Inflation

Private Investment Funds

Private Right of Action

Public Meetings

Repurchase Agreements

Sanction Violations

Security-Based Swaps

Settlement Agreements

Shareholder Approval

Small and Medium-Sized Enterprises (SMEs)

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

401k

Acquisition Agreements

Activist Investors

Anti-Kickback Statute

Appellate Courts

Arbitration Agreements

ASIC

Benefit Plan Sponsors

British Columbia Securities Commission (BCSC)

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CDIs

CFOs

Chevron Deference

Compliance Monitoring

Congressional Review Act

Consultation Papers

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

Covered Entities

CPOs

Credit Facilities

Criminal Conspiracy

Data Management

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Disciplinary Proceedings

Electric Vehicles

EMIR

Energy Information Association (EIA)

Enforcement Authority

Equal Protection

Equity Securities

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

FICC

Financial Regulatory Agencies

Financial Stability Board

FSOC

Government Investigations

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Guidance Update

Indemnification

Information Governance

Internal Investigations

Internal Rate of Return (IRR)

International Emergency Economic Powers Act (IEEPA)

London Stock Exchange

Majority Shareholders

Material Misrepresentation

Monetary Authority of Singapore

Money Transmission Act

MSRB

NAIC

NLRB

NSBA

OIG

Open-Ended Fund Companies (OFCs)

PFAS

Predictive Analytics

Primary Residence

Private Placements

Promissory Notes

Proposed Guidance

Public Consultations

Public Disclosure

Real Estate Market

Regular Business Communications

Restricted Stocks

Reverse Mergers

Safeguards Rule

SAP America Inc.

SEC Comment Letter Process

Secondary Markets

Securities Contracts

Securitization Market

Special Purpose Entities

Split of Authority

State and Local Government

Statutory Interpretation

Strategic Planning

Structured Finance

Structured Financial Products

Subscription Services

Tax Exempt Entities

Terrorist Financing

Terrorist Financing Regulations

Third-Party Service Provider

Total Shareholder Return (TSR)

Unfair or Deceptive Trade Practices

Venture Funding

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Affirmative Action

Affirmative Defenses

Aiding and Abetting

Alberta Securities Commission

Angel Investors

Anti-Terrorism Financing

Attorney General

Automation Systems

Banking Regulators

Breach Notification Rule

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development

Business Valuations

Buy-Side Trading

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

Central Bank Digital Currency (CBDCs)

Change of Control

Chicago Mercantile Exchange (CME)

Civil Rights Act

Collateralized Loan Obligations

Complex Corporate Transactions

Compliance Management Systems

Congressional Committees

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Information

Debt Instruments

Debt Restructuring

Deferred Compensation

Demand Futility

Department of Education

Depository Institutions

Digital Platforms

Dormant Commerce Clause

Economic Development

Educational Institutions

EFTs

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Enforcement Statistics

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair Labor Standards Act (FLSA)

Fair-Notice Standard

Federal Arbitration Act

Federal Funding

Federal Register

Federal Rules of Civil Procedure

Financial Reporting Council (FRC)

Foreign Currency

Foreign Official

Fraudulent Concealment

General Corporation Law

General Solicitation

General-Business

Golden Parachutes

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Hart-Scott-Rodino Act

HMRC

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

Illiquid Assets

Inflation Adjustments

Information Sharing

Injunctive Relief