Securities Elections & Politics Finance & Banking

SEC Dodd-Frank EU Disclosure Requirements UK JOBS Act Investment Adviser Proposed Legislation UK Brexit Pay-To-Play CFTC CFPB Political Contributions Emerging Growth Companies Financial Markets Pending Legislation Crowdfunding Fixing America’s Surface Transportation Act (FAST Act) MSRB Compliance FINRA Investment Advisers Act of 1940 Capital Formation Federal Reserve FSOC Legislative Agendas Financial Sector Small Business Startups Banks Investors New Legislation Popular Banking Sector Broker-Dealer Enforcement Actions FDIC Financial Institutions Member State Referendums Securities Exchange Act Donald Trump Financial Regulatory Reform Presidential Elections Volcker Rule Accredited Investors Financial Conduct Authority (FCA) Financial Services Industry Initial Public Offerings Securities EEA Financial Services Committee Municipal Advisers Proposed Regulation Sarbanes-Oxley UCITS Barack Obama Capital Raising Investment Funds Mary Jo White Recordkeeping Requirements Reporting Requirements Derivatives Enforcement Executive Compensation Municipalities Pensions Private Equity Publicly-Traded Companies Regulation D Shareholders Swaps Tax Reform DOL Economic Development Exemptions Federal Budget FHFA Fiduciary Duty Investment Management IPO MiFID II Mortgages Municipal Bonds Resale Exemption Retirement Plan SIFIs AIFMD Bonds Capital Markets European Securities and Markets Authority (ESMA) Financial Statements Legislative Committees MiFID Offerings Registration Regulation A Amended Legislation Campaign Contributions Capital Gains Capital Requirements Debt Ceiling EMIR Fair Housing Act (FHA) Foreign Investment Fund Managers HM Treasury Investment Company Act of 1940 OCC Political Campaigns Richard Cordray Rulemaking Process Say-on-Pay Securities Act of 1933 Sequestration Transparency Trump Administration U.S. Treasury Ukraine Venture Capital Bank Holding Company Basel III Bitcoin China Cybersecurity DOJ Economic Sanctions EU Market Abuse Regulation (EU MAR) Federal Election Commission (FEC) Filing Requirements Foreign Policy Fraud FSMA Government Shutdown Insider Trading IRS PACs Registration Requirement Regulatory Oversight Risk Retention Safe Harbors Securities Fraud Ways and Means Committee Administrative Appointments Angel Investors Asset Management Chapter 9 Conflict Mineral Rules Congressional Investigations & Hearings Corporate Counsel Cross-Border Cross-Border Transactions EDGAR Elizabeth Warren ERISA European Banking Authority European Commission Fees Foreign Direct Investment GAO General Solicitation Income Taxes Investment Investment Companies Iran Sanctions ISS Municipal Securities Market Mutual Funds New Regulations Political Parties Private Placements Proposed Amendments Protecting Americans from Tax Hikes (PATH) Act Prudential Regulation Authority Public Pension Qualified Mortgage Rule Registration Statement Regulation S-K RTS Rule G-37 S-Corporation Sanctions SBIC Securities Regulation Senate Banking Committee Stocks Suspicious Activity Reports (SARs) Underwriting Wall Street Activist Hedge Funds Affordable Care Act AIFM Al-Qaeda Alternative Investment Funds Amended Regulation Bad Actors Bank of England Banking Crisis Beneficial Owner Benefit Plan Sponsors Canada Capital Requirements Regulation (CRR) CFIUS CMBS Collateralized Loan Obligations Conflicts of Interest Congressional Committees Consumer Financial Products Corporate Governance Corporate Taxes Criminal Conspiracy Criminal Prosecution Debt Restructuring Detroit Disclosure Early Stage Companies Ethics FCPA Fiduciary Rule Financial Crisis Financial Products Foreign Banks Form 10-K FTC Funding Portal Glass-Steagall Act Government Officials Governor Brown Hedge Funds Housing Finance Reform Independent Director Insurance Industry Joint Comprehensive Plan of Action (JCPOA) Lehman Brothers Libor Lobbying Money Laundering Nominations Pay Ratio Payday Loans Political Appointments Private Equity Funds Private Funds Private Investment Funds Public Disclosure Public Records Act Qualified Institutional Buyers Qualified Small Business Stock Rule 506 Offerings Schedule 13D Senior Managers Settlement Spending Cuts Trade Agreements Virtual Currency Wash Sale Rules Whistleblowers Young Lawyers Administrative Procedure Act Advertising Africa AIFS Arbitration Article 50 Treaty of the EU Asset Freeze Australia Bailout Barclays Ben Bernanke Big Law Block Trades Blue Sky Laws Board of Directors Brokers Business Development Companies Bylaws C-Corporation CalPERS Carried Interest Central Counterparties Chapter 11 CISPA Citizens United Collateralized Debt Obligations Comment Period Community Banks Compensation Committee Confirmation Proceedings Conspiracies Consumer Bankruptcy Consumer Credit Protection Continuing Resolution Corruption Covered Funds Credit Cards Debt Collection Diversity Dividends Drones ECON Economic Downturn EFTA Employer Liability Issues End-Users Energy Sector Equity Compensation ETFs European Central Bank Federal Aviation Administration (FAA) Fee-Sharing FFIEC FinCEN FinTech First Amendment FOMC Foreclosure Foreign Corporations Foreign Relations Form D Filing Funding GAAP General Licenses Germany Glass Lewis Golden Parachutes Goldman Sachs Government Investigations Gramm-Leach-Blilely Act GSE Hedging Hillary Clinton Holding Companies HUD Human Resources Professionals Imports ISIS Job Creation Joint Stock Companies JPMorgan Chase Lenders Limited Partnerships Liquidity Coverage Ratio Loans Margin Requirements MiFIR Minority Shareholders Misleading Statements Municipal Bankruptcy Municipal Securities Issuers NASAA New Amendments North Korea Notice Requirements Obama Administration Oil & Gas OMB Packaged Retail And Insurance-Based Investment Products (PRIIPS) PCAOB Personal Liability Poland Political Corruption Political Intelligence Preemption Price Manipulation Privacy Notice Rule Private Offerings Privately Held Corporations Proceeds of Crime Act 2002 (POCA) Proprietary Trading Public Projects Puerto Rico Push-Out Requirements Qualified Purchaser Quantitative Easing RAISE Act RBS Recess Appointments Regulatory Standards Restructuring Retail Investors Retirement Risk Management RMBS Rule 147 Rule G-42 Rule G-8 Rule G-9 SCOTUS Securities Act SEFs Serious Fraud Office Shareholder Proposals Shareholder Rights State and Local Government STOCK Act Stock Markets Student Loans Sudan Supervision Technical Standards Terrorist Acts Third Country Entities Time Extensions Too Big to Fail Trade Policy Trade Relations Trust Preferred Securities U.S. House Underwater Homeowners Unemployment Whistleblower Awards Whistleblower Protection Policies 401k 501(c)(4) Abu Dhabi Global Markets (ADGM) Accounts Receivable Advisory Opinions Affiliates AIF Aircraft Equipment Airlines Algorithmic Trading Alternate Investment Vehicles (AIVs) Alternative Mutual Funds American Rule AML-CTF Angola Annual Reports Annual Statements Anti-Dumping Duty Antitrust Provisions Appeals Appropriations Bill Argentina Artificial Intelligence Asset Class Assignments ATP Tours Automotive Industry Autumn Statement Avon BaFin Bail-In Provisions Balance Sheets Bank of America Banking Reform Bankruptcy Code Bankruptcy Reform Bar Associations Basel Committee Benchmark Pricing Bernie Madoff Bernie Sanders Best Interest Contract Exemptions Best Interest Standard Bilateral Investment Treaties Biometric Information Boko Haram Bond Financing BRRD Budgets Business Advice Business Associates Business Continuity Plans Business Development C&DIs Campaign Finance Reform Campaign Spending Limits Canning v NLRB Capital Markets Union Capital Rules Carried Interest Tax Rates CCPs CDIs CEA CEOs Charitable Donations Chevron Deference Chief Compliance Officers Choke Point CII Citizens United v Federal Election Commission Civil Monetary Penalty Civil Penalty Fund CJEU Class Action Clawbacks Climate Change CME Collective Investment Schemes Commerce Clause Commercial Bankruptcy Commercial Mortgage Securitization Commercial Real Estate Market Commodities Exchange Act Commodity Pool Compensation Confidentiality Agreements Congressional Budget Office Congressional Reports Consent to Assignment Constitutional Challenges Consumer Credit Act Consumer Lenders Consumer Protection Act Controlled Substances Act Cooperation Corporate Bonuses Corporate Contributions Corporate Conversions Corporate Gifts Corporations Code Countervailing Duties Covered Bonds CPO CRD IV Directive Credit Reports Credit Suisse Credit Unions Creditors CREFC CREST Crimea Critical Infrastructure Sectors CTA Currency Exchange Customer Protection Rule Customs Cyber Crimes Cyber Threats Dark Pool Data Collection Data Protection Debt-Relief Industry Decriminalization of Marijuana Defalcation Exception Default Delays Department of Defense (DOD) Deposit Advances Derivatives Clearing Organizations Discussion Draft Disgorgement Dispensaries Disqualification DSS Due Diligence EB-5 EB-5 Regional Centers EBSA EGCs EIOPA Election Laws Election Related Expenditures Eligibility Embargo Employee Benefits Employee Share Schemes Employee Stock Purchase Plans Employee Stock Purchase Rights Employee-Ownership Encryption Entrepreneur Access to Capital Act Entrepreneurs Equity Markets Eric Holder ESRB EU Directive EU Passport EU-US Privacy Shield Euro European Supervisory Authorities (ESAs) Exclusions Executive Orders Executive Powers Export Controls Exports Extradition Falsified Documents Farms FASB FATCA FATF FCA FDCPA Federal Pilot Programs Federal Prosecutors Federal Sentencing Guidelines Fee Disclosure Fee-Shifting FERC Fifth Amendment Filibuster Filing Deadlines Final Rules Financial Holding Company Financial Instruments Financial Services Act Financial Stability Acts Finder's Fees Finders Fines FIRREA Fiscal Cliff Flood Insurance Forex Form 10-Q Form 8-K Form PQR Form S-1 Form SD Fraudulent Transfers Free Trade Agreements FSB Futures FX Forwards G-SIB G-SII G20 Gender Equity General Electric Gifts Global Economy Government Bonds Government Entities Governmental Liability Greece Green Bonds Greenhouse Gas Emissions Gun Laws Hackers HALOS Act Harry Reid Healthcare High Frequency Trading HMDA Honest Services Fraud Hong Kong Hong Kong Stock Exchange Housing Market Human Rights Humanitarian Assistance Hurricane Sandy IAEA IFRS Implementation Day In Pari Delicto In-House Perspective Indemnification Independent Boards Independent Contractors Inflation Adjustments Infrastructure Innovation Institutional Investment Integration Interest Rates Internal Revenue Code (IRC) International Finance International Tax Issues Internet Internet of Things Investment Banks Investment Contract Investment Fund Vehicles Investment Portfolios Investor Protection IRA Iraq ISDA ISDA Master Agreement Issuer Eligibility Criteria Jamie Dimon Japan Joint and Several Liability Judicial Estoppel Judicial Review Jumpstart GSE Reform Act Junk Debt Jurisdiction Justin Trudeau Kidnapping Kodak KPMG Latin America Lending Leverage Ratio Licenses Licensing Rules Limited Liability Partnerships Liquidity Listing Rules Lobbyists Local Partners Local Taxes London International Financial Centre (LIFC) London Stock Exchange Look-Back Measurement Period Major Swap Participants Make-Whole Premium Marijuana Related Businesses Mark-To-Market Market Manipulation Market Participants Marketing Mass Shootings Material Nonpublic Information Materiality MCDC Meals-Gifts-and Entertainment Rules Media Medical Marijuana Medtronic Meeting Minutes Members of Congress Merrill Lynch Middle East Mobile Health Apps Money Market Funds Moody's Mortgage Lenders Mortgage Servicers Mortgage-Backed Securities MTFs National Security NATO Natural Gas Natural Resources Neither Admit Nor Deny Settlements Net Stable Funding Ratio (NSFR) NLRB No-Action Relief Non-Cash Compensation Non-GAAP Financial Measures Non-Judicial Settlement Agreements Nonbank Firms Norwegian Model NPRM NSA NYDFS NYSE OCIE OFAC OFR Omissions Online Banking Online Gaming Orderly Liquidation Authority P5+1 Nations Patent Infringement Patent Litigation Patents Pay or Play Pay-for-Performance PDMR Pension Funds Person of Significant Control (PSC Register) Petition for Rulemaking Pharmaceutical Patents PHH Corp. v CFPB Plastic Solar Cells Political Scandals Political Speech Portfolio Managers PRA Presidential Nominations Privacy Laws Private Equity Firms Professional Misconduct Profits Prohibited Transactions Proposed Rules Prospectus Proxy Access Proxy Season Proxy Voting Guidelines Public Comment Public Financing Public Funds Public Officials Public Policy Public Private Partnerships (P3s) Public Utility Puerto Rico Oversight Management and Economic Stability Act (PROMESA) Qualification Exams Qualified Client Ratification Rating Agencies Real Estate Market Recessions Recruitment Policies Redevelopment Redress Payments Referendum Votes Refinancing Registered Investment Advisors Registered Investment Companies (RICs) Regulation Regulation AT Regulation S-X Regulatory Agencies Regulatory Agenda Relevant Legal Entity (RLE) Remedial Actions Remedies Renewable Energy Repatriation Repeal Required Forms ResCap Residential Capital LLC Resource Extraction Reverse Mergers Reverse Mortgages RICs Risk Alert Risk Mitigation Roundtable Rule 144A Rule 14a-8 Rule 156 Rule 206(4)-5 Rule 506(c) Rule G-20 Russia S&P SALT School Districts SEC Advisory Committee SEC Examination Priorities Secondary Markets Section 1504 Section 162(m) Section 203 Section 502 Section 716 Securities Litigation Securitization Securitization Market Securitization Vehicles Security-Based Swaps Self-Dealing Self-Reporting Sellers Senior Managers Insurers Regime (SMIR) Set Off SFTR Share Buybacks Shareholder Activism SIFMA Small Business Enterprise and Employment Act Small Credit Institutions Small Offering Exemptions SMEs Social Media Account Ownership Solvency II Special Administration Special Purpose Entities SRO State of the Union State Regulators State Taxes Stern v Marshall Stress Tests Subject Matter Jurisdiction Subpoenas Supply Chain Suprema Surveys Swap Data Repositories Swap Dealers Swing Pricing Swiss Banks Syria Takeovers Tax Benefits Tax Deductions Tax Evasion Tax Exemptions Tax Extenders Tax Fraud Tax Incentives Tax Rates Tax-Exempt Bonds Tea Party Technology Sector Telecommunications Terms and Conditions Terrorist Financing Regulations Tick Size Title III Title IV Tom Hayes Trade Associations Trademarks Trans-Pacific Partnership Transition Team Transparency Directive Treaty of Lisbon TRIA Trustees U.S. Commerce Department UBS UCITS V UK Bribery Act UK Companies Acts United Nations Universal Proxy Cards University of California Unregistered Brokers US Trade Policies USAID Venue Verizon WARN Act Warren Buffet Wearable Technology Wells Fargo White Collar Crimes Withdrawal WKSIs WTO XBRL Filing Requirements