Browse Related Topics For:

Securities › Electronic Discovery › Mergers & Acquisitions

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Enforcement Actions

Investment Adviser

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

Securities Fraud

Securities Exchange Act

CFTC

Corporate Transparency Act

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Financial Institutions

Regulatory Agenda

Securities Exchange Act of 1934

Artificial Intelligence

Capital Markets

Financial Industry Regulatory Authority (FINRA)

Investment Advisers Act of 1940

Regulatory Requirements

UK

Board of Directors

Special Purpose Acquisition Companies (SPACs)

Anti-Money Laundering

Securities Act of 1933

Initial Public Offering (IPO)

EU

White Collar Crimes

Foreign Corrupt Practices Act (FCPA)

Insider Trading

Investment Funds

Corporate Social Responsibility

Investment Management

Stock Repurchases

Financial Conduct Authority (FCA)

Financial Markets

Whistleblower Protection Policies

Registered Investment Advisors

Recordkeeping Requirements

Crypto Exchanges

Cyber Incident Reporting

Financial Regulatory Reform

Policies and Procedures

Investment Company Act of 1940

Macquarie Infrastructure Corp v Moab Partners LP

Anti-Corruption

Corporate Counsel

Financial Crimes

Money Laundering

Regulatory Oversight

Regulatory Reform

Venture Capital

Federal Trade Commission (FTC)

Misrepresentation

Conflicts of Interest

Misleading Statements

Civil Monetary Penalty

National Security

Consumer Financial Protection Bureau (CFPB)

Criminal Prosecution

ETFs

Bank Secrecy Act

Financial Statements

Risk Assessment

Federal Reserve

Filing Deadlines

IRS

Putative Class Actions

Whistleblower Awards

Material Misstatements

European Securities and Markets Authority (ESMA)

Failure To Disclose

Corporate Misconduct

Electronic Communications

Emerging Growth Companies

Office of Foreign Assets Control (OFAC)

Administrative Procedure Act

Canadian Securities Administration

Capital Raising

Decentralized Finance (DeFi)

Machine Learning

Securities Transactions

Smaller Reporting Companies

Bank of England

Constitutional Challenges

Corporate Issuers

Executive Compensation

Internal Controls

Investment Companies

NYSE

Asset Management

Consumer Financial Products

False Statements

FDIC

Filing Requirements

OCC

Suspicious Activity Reports (SARs)

Climate Action Plan

Financial Reporting

Foreign Private Issuers

Proposed Amendments

Trading Platforms

Unregistered Securities

Voluntary Disclosure

Controlling Stockholders

FBI

Futures Commission Merchants (FCMs)

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Proxy Statements

Regulatory Standards

Rulemaking Process

Adverse Employment Action

Commodity Exchange Act (CEA)

Exchange-Traded Products

Registration Requirement

Technology Sector

Confidential Information

European Commission

Hong Kong Stock Exchange

Market Participants

Murray v UBS Securities LLC

Shell Corporations

Business Entities

Corporate Officers

NPRM

Accredited Investors

Chief Information Security Officer (CISO)

Delaware General Corporation Law

Distributed Ledger Technology (DLT)

FHFA

First Amendment

Listing Standards

Material Nonpublic Information

Proxy Voting Guidelines

Virtual Currency

Anti-Retaliation Provisions

Digital Currency

Diversity and Inclusion Standards (D&I)

Institutional Investors

Internal Revenue Code (IRC)

Investment Firms

Investment Opportunities

Misappropriation

Pharmaceutical Industry

Task Force on Climate-related Financial Disclosures (TCFD)

Confidentiality Agreements

Economic Sanctions

Employer Liability Issues

Financial Transactions

Prudential Regulation Authority (PRA)

Shareholder Proposals

Alternative Investment Fund Managers Directive (AIFMD)

Business Strategies

Capital Formation

Chief Compliance Officers

Corporate Crimes

European Banking Authority (EBA)

False Claims Act (FCA)

Foreign Investment

Hong Kong Securities and Futures Commission (HKSFC)

Investment Contract

Investor Protection

Real Estate Investments

Regulatory Violations

Retirement Plan

Risk Mitigation

SBA

Self-Disclosure Requirements

Shareholder Litigation

UBS

Administrative Proceedings

Business Ownership

Customer Due Diligence (CDD)

Data Protection

Department of Labor (DOL)

Financial Services Committee

GAAP

Institutional Shareholder Services (ISS)

MNPI

New Regulations

Ontario Securities Commission (OSC)

Private Equity Funds

Proposed Legislation

Proposed Regulation

Public Offerings

REIT

Shareholder Rights

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Law Judge (ALJ)

Biden Administration

Books & Records

Business Litigation

Carbon Emissions

Compensation & Benefits

Coronavirus/COVID-19

Criminal Penalties

DE Supreme Court

Employee Retirement Income Security Act (ERISA)

Environmental Policies

Governance Standards

NIST

Non-Public Information

Registration Statement

Retail Investors

SEC Examination Priorities

Securities Traders

Summary Judgment

Amended Regulation

Capital Investments

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Compliance Dates

Consumer Lenders

Continuing Legal Education

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

FEPA

Food and Drug Administration (FDA)

HKEx

Market Manipulation

MD&A Statements

NCUA

New Legislation

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Regulatory Authority

Securities Dealers

Statutory Violations

Sustainable Business Practices

XBRL Filing Requirements

Asset-Backed Securities

Cease and Desist Orders

Commercial Bankruptcy

Department of Financial Protection and Innovation (DFPI)

Derivatives Clearing Organizations

Employee Benefits

Employment Contract

Enforcement Priorities

Entire Fairness Standard

Environmental Protection Agency (EPA)

Executive Orders

Exempt Reporting Advisers (ERAs)

Financial Instruments

Foreign Corporations

Foreign Direct Investment

Foreign Entities

Incident Response Plans

Investment Portfolios

NAV

Non-GAAP Financial Measures

Renewable Energy

Securities Tokens

Securitization Standards

Seventh Amendment

Shareholder Activism

Shareholder Meetings

Administrative Stay

Bankruptcy Code

Bankruptcy Court

Business Judgment Rule

CDIs

Closed-End Funds

Corporations Code

Data Collection

Digital Wallets

FCPA Corporate Enforcement Policy (CEP)

Federal Contractors

Financial Services and Markets Act

Hiring & Firing

Information Reports

Judicial Review

Limited Partnerships

Merger Agreements

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

Personal Information

Policy Statement

Political Contributions

Portfolio Managers

Privately Held Corporations

Protected Activity

Regulation Technical Standards (RTS)

Reverse Stock Splits

Securities Exchanges

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Terrorism Funding

Trading Policies

Anti-Fraud Provisions

British Columbia Securities Commission

British Columbia Securities Commission (BCSC)

Business Disputes

Clearing Agencies

Commerce Clause

Commodities Traders

Corporate Taxes

Criminal Investigations

Cybersecurity Information Sharing Act (CISA)

Debt

Department of Energy (DOE)

Designated Contract Markets (DCMs)

Digital Securities

Dispute Resolution

Export Controls

FATF

General Data Protection Regulation (GDPR)

Incentive Compensation

Information Technology

Initial Coin Offering (ICOs)

Innovative Technology

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Products

ISDA

Know Your Customers

Law Enforcement

Money Transmitter

Mortgage-Backed Securities

Motion to Dismiss

No-Action Letters

OECD

Passive Investments

Pay-for-Performance

Private Equity Firms

Private Right of Action

Quarterly Report

Regulation Best Interest

Repurchase Agreements

Shareholder Votes

SRO

Third-Party Risk

Accounting Standards

AIFM

Alternative Investment Funds

Antitrust Provisions

Benefit Plan Sponsors

CEOs

Class Certification

Commercial Litigation

Consumer Protection Act

Corporate Financing

Corporate Sales Transactions

Credit Facilities

Critical Infrastructure Sectors

Data Management

Debt Securities

Department of Defense (DOD)

Early Stage Companies

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Adviser

Financial Regulatory Agencies

Foreign Exchanges

Foreign Issuers

Fourth Amendment

Freeze-Out Mergers

FSMA

Government Investigations

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Individual Retirement Account (IRA)

Inflation Reduction Act (IRA)

Instant Messaging Apps

Legislative Agendas

Long-Term Investment Funds

Multidistrict Litigation

Municipal Bonds

Non-Disclosure Agreement

Objective Falsity

OMB

Online Platforms

Predictive Analytics

Price Inflation

Prohibited Transactions

Public Meetings

Sanction Violations

Securitization Market

Security-Based Swaps

Serious Fraud Office (SFO)

SFDR

Shareholder Approval

Split of Authority

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Total Shareholder Return (TSR)

Wealth Management

401k

Acquisition Agreements

Activist Investors

Aiding and Abetting

Anti-Kickback Statute

Appellate Courts

Arbitrary and Capricious

Arbitration Agreements

ASIC

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CFOs

Chevron Deference

Compliance Management Systems

Compliance Monitoring

Congressional Review Act

Consultation Papers

Consumer Financial Protection Act (CFPA)

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

CPOs

Criminal Conspiracy

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Digital Platforms

Disciplinary Proceedings

EFTs

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

Fees

FICC

Fraudulent Transfers

FSOC

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Indemnification

Inflation Adjustments

Insurance Industry

Internal Investigations

Internal Rate of Return (IRR)

Internal Reporting

Investment Fraud

Israel Securities Authority (ISA)

Licensing Rules

London Stock Exchange

Major Swap Participants

Material Misrepresentation

Monetary Authority of Singapore

Money Services Business

Money Transmission Act

MSRB

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Primary Residence

Private Placements

Promissory Notes

Proposed Guidance

Public Consultations

Public Disclosure

Regular Business Communications

Restricted Stocks

Safeguards Rule

SAP America Inc.

SEC Comment Letter Process

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Small and Medium-Sized Enterprises (SMEs)

State and Local Government

Statutory Interpretation

Structured Finance

Subscription Services

Tax Exempt Entities

Terrorist Financing

Third-Party Service Provider

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Alberta Securities Commission

Anti-Terrorism Financing

Attorney General

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development

Business Development Companies

Business Divorce

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)

Collateralized Loan Obligations

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Credit Agreements

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Identification Program (CIP)

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Derivative Suit

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair-Notice Standard

FCC

Federal Arbitration Act

Federal Funding

Federal Register

Federal Rules of Civil Procedure

Financial Reporting Council (FRC)

Financial Stability Board

Foreign Currency

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Corporation Law

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Guidance Update

Hart-Scott-Rodino Act

HMRC

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

IFRS

Incentive Awards

Information Governance

Information Security

Information Sharing

Injunctive Relief

Institutional Investment

International Capital Markets Association (ICMA)

International Tax Authority

Interstate Commerce

Investing Companies

Liquidity Management

Listed Company Manual