Securities Elections & Politics Finance & Banking

SEC Dodd-Frank Trump Administration EU Investment Adviser UK Financial Institutions Disclosure Requirements UK Brexit JOBS Act Proposed Legislation CFTC DOL CFPB Fiduciary Rule Financial Markets Pay-To-Play Pending Legislation Political Contributions Financial Services Industry Financial Regulatory Reform Emerging Growth Companies Enforcement Actions Retirement Plan Banking Sector ERISA FINRA MSRB Popular Volcker Rule Federal Reserve Fixing America’s Surface Transportation Act (FAST Act) Crowdfunding FSOC Regulatory Oversight Broker-Dealer Compliance Executive Orders Investment Advisers Act of 1940 Legislative Agendas Investors Capital Formation Startups FDIC Initial Public Offerings MiFID II Presidential Elections Banks Fiduciary Duty New Legislation Small Business Financial Conduct Authority (FCA) Member State UCITS Accredited Investors AIFMD Best Interest Contract Exemptions Capital Markets Reporting Requirements Derivatives EEA Investment Funds Referendums Securities Exchange Act Tax Reform Financial Services Committee Private Equity Securities Shareholders Bonds Capital Raising Delays Deregulation Executive Compensation Investment Management OCC Proposed Regulation Recordkeeping Requirements Sarbanes-Oxley Barack Obama Economic Development Financial CHOICE Act IPO Municipal Advisers Publicly-Traded Companies Regulation D Swaps Administrative Appointments Conflicts of Interest Corporate Governance Economic Sanctions Employee Benefits Enforcement European Securities and Markets Authority (ESMA) Exemptions IRA IRS Mary Jo White Pensions Presidential Memorandum Asset Management Federal Budget FHFA MiFID Mortgages Municipal Bonds Municipalities Pay Ratio Regulation A Regulatory Agenda Say-on-Pay U.S. Treasury Venture Capital Amended Legislation Bitcoin Capital Requirements EMIR FCPA FinTech Fund Managers OMB Repeal Resale Exemption Rulemaking Process SIFIs Whistleblowers Corporate Counsel Cross-Border Transactions Cybersecurity Dividends DOJ EDGAR Financial Statements Foreign Investment HM Treasury Legislative Committees Private Placements Public Comment Registration Richard Cordray Securities Act of 1933 Securities Regulation Solvency II Transparency Ukraine Bailout Benefit Plan Sponsors Brokers Campaign Contributions Capital Gains China Conflict Mineral Rules Congressional Committees Congressional Investigations & Hearings Debt Ceiling EU Market Abuse Regulation (EU MAR) European Banking Authority Fair Housing Act (FHA) FSMA Insurance Industry Investment Investment Company Act of 1940 ISS Mutual Funds Offerings Political Campaigns Registration Requirement Regulatory Agencies Regulatory Reform Regulatory Standards Retirement Securities Fraud Sequestration Wall Street Article 50 Treaty of the EU Bank Holding Company Basel III Capital Requirements Regulation (CRR) Corporate Taxes European Commission Federal Election Commission (FEC) Filing Requirements Final Rules Financial Crisis Foreign Policy Fraud GAO Government Shutdown Hedge Funds Insider Trading Investment Companies MiFIR Non-GAAP Financial Measures OFAC PACs Payday Loans Political Parties Private Equity Funds Prohibited Transactions Proposed Amendments Prudential Regulation Authority Risk Management Risk Retention Rule G-37 S-Corporation Safe Harbors Senate Banking Committee Shareholder Proposals Stress Tests Ways and Means Committee 401k AIFM Amended Regulation Angel Investors Anti-Money Laundering Bad Actors Blockchain C&DIs CFIUS Chapter 9 Class Action CMBS Consumer Financial Products Criminal Prosecution Cross-Border Elizabeth Warren ETFs Fees FinCEN Foreign Direct Investment FTC Funding Portal General Licenses General Solicitation Glass-Steagall Act Government Officials Income Taxes Job Creation Lehman Brothers Lenders Libor Margin Requirements Municipal Securities Market New Regulations Nominations Political Appointments Private Funds Protecting Americans from Tax Hikes (PATH) Act Public Pension Qualified Mortgage Rule Registration Statement Regulation S-K RMBS RTS Sanctions SBIC Secretary of Labor Securities Transactions Senior Managers Settlement State and Local Government Stock Markets Stocks Suspicious Activity Reports (SARs) Underwriting Virtual Currency Whistleblower Awards Activist Hedge Funds Administrative Procedure Act Administrative Proceedings Affordable Care Act Al-Qaeda Algorithmic Trading Alternative Investment Funds Bank of England Banking Crisis Barclays Beneficial Owner Best Interest Standard Blocked Person Bylaws Canada Capital Markets Union Central Counterparties Citgo Clawbacks Collateralized Loan Obligations Comment Period Community Banks Confirmation Proceedings Conspiracies Consumer Bankruptcy CRD IV Directive Credit Cards Criminal Conspiracy Debt Collection Debt Restructuring Debt-Equity Detroit Disclosure Diversity Early Stage Companies Energy Sector Equity Compensation Ethics European Central Bank Exxon Mobil Financial Products Financial Stability Board Foreign Banks Form 10-K Futures Germany Glass Lewis Global Economy Goldman Sachs HMDA Housing Finance Reform Independent Director Interest Rates Iran Sanctions ISDA Kokesh v SEC Lending Limited Partnerships Lobbying Money Laundering Municipal Securities Issuers Nasdaq Obama Administration OCIE Oil & Gas Packaged Retail And Insurance-Based Investment Products (PRIIPS) Personal Liability Preemption Private Investment Funds Private Offerings Private Right of Action Privately Held Corporations Proxy Voting Guidelines Public Disclosure Public Records Act Qualified Institutional Buyers Qualified Small Business Stock Retail Investors Risk Assessment Rule 147 Rule 506 Offerings Schedule 13D SDN List Securities Act Securities Violations Shareholder Rights Spending Cuts State-Owned Enterprises Student Loans Supervision Tax Deductions Third Country Entities Third Country Entities (TCEs) Time Extensions Trade Agreements Trading Platforms Two For One Rule U.S. House Unemployment Venezuela Wash Sale Rules Whistleblower Protection Policies Young Lawyers Advertising Affiliates Africa Agricultural Sector AIFs Annual Reports Anti-Corruption Appeals Arbitration Asset Freeze Australia Ben Bernanke Big Law Block Trades Blue Sky Laws Board of Directors Breach of Duty BRRD Business Development Companies C-Corporation CalPERS Carried Interest CCAR CCPs CEOs Chapter 11 CISPA Citizens United Civil Monetary Penalty Climate Change Closed-End Funds Collateralized Debt Obligations Commercial Bankruptcy Commercial Real Estate Market Commodities Compensation Committee Comptroller Consumer Credit Protection Consumer Lenders Continuing Resolution Corruption Covered Bonds Covered Funds Data Protection Debt Market Delaware General Corporation Law Derivatives Clearing Organizations Director Compensation Disgorgement Distributed Ledger Technology (DLT) Drones ECON Economic Downturn EFTA Employer Liability Issues End-Users Equity Markets EU Passport EU Single Market FATF FDCPA Federal Aviation Administration (FAA) Federal Pilot Programs Fee-Sharing FERC FFIEC Field Assistance Bulletins Filing Deadlines First Amendment FOMC Foreclosure Foreign Corporations Foreign Relations Form 8-K Form D Filing France Funding GAAP General Elections General Electric Golden Parachutes Government Agencies Government Investigations Governor Brown Gramm-Leach-Blilely Act Greece GSE Hedging Hillary Clinton Holding Companies Hong Kong Securities and Futures Commission (HKSFC) HUD Human Resources Professionals Imports Infrastructure Investor Protection IOSCO ISDA Master Agreement ISIS Italy Japan Joint Comprehensive Plan of Action (JCPOA) Joint Stock Companies JPMorgan Chase Jurisdiction Licensing Rules Liquidation Liquidity Coverage Ratio Loans Market Manipulation MCDC Mike Pence Minority Shareholders Misleading Statements Money Transfer Mortgage Lenders Municipal Bankruptcy NASAA New Amendments No-Action Relief North Korea Notice Requirements NYDFS NYSE Orderly Liquidation Authority Passporting PCAOB Pension Funds PHH Corp. v CFPB Poland Political Corruption Political Intelligence Price Manipulation Privacy Laws Privacy Notice Rule Proceeds of Crime Act 2002 (POCA) Proprietary Trading Prospectus Proxy Access Proxy Access Rule Proxy Season Public Financing Public Officials Public Projects Puerto Rico Push-Out Requirements Qualified Purchaser Quantitative Easing RAISE Act Rating Agencies RBS Recess Appointments Regulation AT Regulatory Burden Renewable Energy Rent-a-Tribe Request For Information Rescission Resource Extraction Restructuring Rollbacks Rule G-20 Rule G-42 Rule G-8 Rule G-9 Russia SCOTUS SEC Examination Priorities Securitization SEFs Serious Fraud Office Small Offering Exemptions Social Media STOCK Act Supply Chain Swap Dealers Tax Fraud Tax-Exempt Bonds Technical Standards Telecommunications The Great Repeal Bill Too Big to Fail TRACE Trade Policy Trade Relations Transition Team Trust Preferred Securities Trustees UCITS V Underwater Homeowners US Trade Policies Wells Fargo White Collar Crimes XBRL Filing Requirements 501(c)(4) Abu Dhabi Global Markets (ADGM) Accounting Fraud Accounting Standards Accounts Receivable Acquisitions Acquittals Activist Investors Administrative Resignation Advanced Notice of Proposed Rulemaking (ANPRM) Advisory Opinions AIF Aircraft Equipment Airlines Alibaba Alternate Investment Vehicles (AIVs) Alternative Mutual Funds Alternative Trading Systems Amended Rules American Bankers Association American Health Care Act (AHCA) American Rule AML/CFT Angola Annex IV Annual Statements Anti-Bribery Anti-Dumping Duty Anti-Retaliation Provisions Antitrust Provisions Antitrust Violations Appraisal Appropriations Bill Arbitrage Arbitrators Argentina Artificial Intelligence Asia ASIC Asset Class Assignments ATP Tours Automotive Industry Autumn Statement Avon BaFin Bail-In Provisions Balance Sheets Bank Accounts Bank of America Banking Reform Bankruptcy Code Bankruptcy Court Bankruptcy Reform Bar Associations Basel Committee Benchmark Pricing Benchmarks BEPS Bernie Madoff Bernie Sanders Bilateral Investment Treaties Biometric Information BlackRock Blue Apron Boko Haram Bond Financing Border Adjustment Taxes Bribery BSA/AML Budgets Burden of Proof Business Advice Business Associates Business Conduct Standards Business Continuity Plans Business Development Campaign Finance Reform Campaign Spending Limits Canning v NLRB Capital Rules Carried Interest Tax Rates Caterpillar CDIs CEA CFPA Chapter 7 Charitable Donations Chemicals Chevron Deference Chief Compliance Officers Choice-of-Law Choke Point Church Plans CII Citigroup Citizens United v Federal Election Commission Citizenship Civil Penalty Fund CJEU Class Certification Clear and Convincing Evidence CME CME NYMEX Collective Investment Schemes Commerce Clause Commercial Mortgage Securitization Commission Delegated Regulation Commodities Exchange Act Commodity End-User Relief Act Commodity Futures Contracts Commodity Pool Compensation Competition Confidentiality Agreements Congressional Budget Office Congressional Nominations Congressional Reports Congressional Review Act Consent to Assignment Constitutional Challenges Construction Industry Consumer Credit Act Consumer Protection Act Contract Terms Controlled Substances Act Cooperation Copyright Corporate Bonuses Corporate Contributions Corporate Conversions Corporate Gifts Corporations Code Countervailing Duties Country-by-Country CPO Credit Card Surcharges Credit Reports Credit Suisse Credit Unions Creditors CREFC CREST Crimea Criminal Convictions Criminal Penalties Critical Infrastructure Sectors CSBS CTA Cuba Currency Exchange Customer Protection Rule Customs Cyber Crimes Cyber Threats Dark Pool Data Collection Dealers Debt Debt Collectors Debt Relief Debt Securities Debt-Relief Industry Decriminalization of Marijuana Defalcation Exception Default Department of Defense (DOD) Deposit Advances Deutsche Bank Discussion Draft Dismissals Dispensaries Disqualification Distributors DSIO DSS Due Diligence EAR EB-5 EB-5 Regional Centers EBSA Effective Date EGCs EIOPA Elder Issues Election Laws Election Related Expenditures Electricity Electronically Stored Information Eligibility Embargo Employee Contributions Employee Share Schemes Employee Stock Purchase Plans Employee Stock Purchase Rights Employee-Ownership Encryption Entrepreneur Access to Capital Act Entrepreneurs Environmental Policies Equity Plan Scorecard (EPSC) Equity Plans Equity Securities Eric Holder ESOP ESRB EU Central Securities Depository Directive EU Directive EU-US Privacy Shield EURIBOR Euro European Supervisory Authorities (ESAs) Examination Priorities Excessive Fees Exclusions Executive Powers Exploitation Export Controls Exports Extensions Extradition False Claims Act (FCA) Falsified Documents Farms FASB FATCA Federal Pleading Requirements Federal Prosecutors Federal Register Federal Sentencing Guidelines Fee Disclosure Fee-Shifting Fifth Amendment Filibuster Financial Action Task Force Financial Adviser Financial Fraud Financial Holding Company Financial Instruments Financial Services Act Financial Services and Markets Act Financial Stability Acts Financial Stimulus Finders Fines FIRREA Fiscal Cliff Fiscal Year Fitch Flood Insurance FOIA Foreign Equivalency Determination Foreign Issuers Foreign Private Issuers Forex Form 10-Q Form PF Form PQR Form S-1 Form SD Fraud and Abuse Fraudulent Transfers Free Trade Agreements FSB FX Forwards G-SIB G-SII G20 Gartenberg Factors Gender Equity General Data Protection Regulation (GDPR) Gifts Global Market Golden Leash Arrangements Government Bonds Government Entities Governmental Liability Governor Pence Green Bonds Greenhouse Gas Emissions Guide Guilty Pleas Gun Laws Hackers HALOS Act Hardship Distributions Harmonization Rules Harry Reid Hart-Scott-Rodino Act Healthcare Healthcare Facilities Healthcare Reform High Frequency Trading High-Yield Markets Honest Services Fraud Hong Kong Hong Kong Stock Exchange Hospitals Housing Market Human Rights Humanitarian Assistance Hurricane Sandy IFRS IIROC Implementation Day In Pari Delicto Inaugrations Inauguration Committees Indemnification Independent Boards Independent Contractors Industrial Products Inflation Adjustments Information Technology Injury-in-Fact Innovation Innovative Technology Institutional Investment Institutional Investors Integrated Disclosures Integration Internal Revenue Code (IRC) International Data Transfers International Finance International Tax Issues Internet Internet of Things Internet Retailers Investment Banks Investment Contract Investment Fund Vehicles Investment Portfolios Iran Issuer Eligibility Criteria Jamie Dimon Joint and Several Liability Judicial Estoppel Judicial Review Jumpstart GSE Reform Act Junk Debt Justin Trudeau Kickbacks Kidnapping Kodak KPMG Latin America Leverage Ratio Leveraged Finance Licenses Life Sciences Limited Liability Partnerships Liquidity Liquidity Risk Management Rule Listing Rules LMRA Lobbyists Local Partners Local Taxes London International Financial Centre (LIFC) London Stock Exchange Look-Back Measurement Period Major Swap Participants Make-Whole Premium Malta Management Fees Mandatory Clearing Requirements Marijuana Related Businesses Mark-To-Market Market Abuse Market Participants Marketing Mass Shootings Material Nonpublic Information Materiality Meals-Gifts-and Entertainment Rules Media Medical Devices Medical Marijuana Medtronic Meeting Minutes Members of Congress Memorandum of Understanding Mental Health Parity Rule Mergers Merrill Lynch MHPAEA Micro Entity Status Middle East Military Lending Act Mining Mitigation Mobile Health Apps Money Market Funds Money Transmitter Moody's Morgan Stanley Mortgage Servicers Mortgage-Backed Securities Motion to Dismiss MTFs Multinationals Music Industry MyRA NAFTA NASD National Security NATO Natural Gas Natural Resources NCUA Neither Admit Nor Deny Settlements Net Stable Funding Ratio (NSFR) New Guidance NLRB Non-Cash Compensation Non-Judicial Settlement Agreements Non-Performing Loans (NPL) Nonbank Firms Nordstrom Inc. Norwegian Model Notice and Comment NPRM NSA OFR Omissions On-Demand Services Online Banking Online Gaming Open-Ended Fund Companies (OFCs) Order to Stay OSHA Overboarding P5+1 Nations Paris Agreement Partnerships