Browse Related Topics For:

Securities › Energy & Utilities › Criminal Law

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

Regulatory Agenda

Financial Institutions

Securities Exchange Act of 1934

Artificial Intelligence

Financial Industry Regulatory Authority (FINRA)

Capital Markets

Investment Advisers Act of 1940

Regulatory Requirements

Board of Directors

UK

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

Investment Management

Corporate Social Responsibility

Stock Repurchases

Financial Conduct Authority (FCA)

Financial Markets

Registered Investment Advisors

Whistleblower Protection Policies

Recordkeeping Requirements

Crypto Exchanges

Policies and Procedures

Cyber Incident Reporting

Financial Regulatory Reform

Investment Company Act of 1940

Macquarie Infrastructure Corp v Moab Partners LP

Corporate Counsel

Anti-Corruption

Misrepresentation

Financial Crimes

Money Laundering

Regulatory Oversight

Regulatory Reform

Conflicts of Interest

Federal Trade Commission (FTC)

Misleading Statements

Venture Capital

Civil Monetary Penalty

National Security

Consumer Financial Protection Bureau (CFPB)

Criminal Prosecution

ETFs

Financial Statements

Risk Assessment

Whistleblower Awards

Bank Secrecy Act

Federal Reserve

Filing Deadlines

IRS

European Securities and Markets Authority (ESMA)

Putative Class Actions

Corporate Misconduct

Failure To Disclose

Material Misstatements

Decentralized Finance (DeFi)

Electronic Communications

Executive Compensation

NYSE

Office of Foreign Assets Control (OFAC)

Administrative Procedure Act

Canadian Securities Administration

Emerging Growth Companies

Internal Controls

Machine Learning

Securities Transactions

Smaller Reporting Companies

Bank of England

Capital Raising

Constitutional Challenges

Corporate Issuers

Filing Requirements

Financial Reporting

Investment Companies

Asset Management

Consumer Financial Products

False Statements

FDIC

OCC

Suspicious Activity Reports (SARs)

Trading Platforms

Climate Action Plan

Foreign Private Issuers

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Proposed Amendments

Unregistered Securities

Voluntary Disclosure

Controlling Stockholders

FBI

Futures Commission Merchants (FCMs)

Proxy Statements

Regulatory Standards

Adverse Employment Action

Commodity Exchange Act (CEA)

Exchange-Traded Products

Registration Requirement

Rulemaking Process

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

Anti-Retaliation Provisions

Chief Information Security Officer (CISO)

Delaware General Corporation Law

Distributed Ledger Technology (DLT)

FHFA

First Amendment

Listing Standards

Material Nonpublic Information

Proxy Voting Guidelines

Digital Currency

Diversity and Inclusion Standards (D&I)

Institutional Investors

Internal Revenue Code (IRC)

Investment Firms

Investment Opportunities

Misappropriation

Task Force on Climate-related Financial Disclosures (TCFD)

Virtual Currency

Alternative Investment Fund Managers Directive (AIFMD)

Confidentiality Agreements

Economic Sanctions

Employer Liability Issues

False Claims Act (FCA)

Financial Transactions

Hong Kong Securities and Futures Commission (HKSFC)

Pharmaceutical Industry

Prudential Regulation Authority (PRA)

Retirement Plan

Shareholder Proposals

Business Strategies

Chief Compliance Officers

Corporate Crimes

Department of Labor (DOL)

European Banking Authority (EBA)

Foreign Investment

Investment Contract

Investor Protection

New Regulations

Real Estate Investments

Regulatory Violations

Risk Mitigation

SBA

Self-Disclosure Requirements

Shareholder Litigation

UBS

Administrative Proceedings

Business Ownership

Capital Formation

Carbon Emissions

Compliance Dates

Customer Due Diligence (CDD)

Data Protection

Employee Retirement Income Security Act (ERISA)

Environmental Policies

Financial Services Committee

GAAP

Institutional Shareholder Services (ISS)

MNPI

Ontario Securities Commission (OSC)

Private Equity Funds

Proposed Legislation

Proposed Regulation

Public Offerings

REIT

Retail Investors

Shareholder Rights

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Law Judge (ALJ)

Biden Administration

Books & Records

Business Litigation

Compensation & Benefits

Coronavirus/COVID-19

Criminal Penalties

DE Supreme Court

Governance Standards

NIST

Non-Public Information

Securities Traders

Summary Judgment

Amended Regulation

Asset-Backed Securities

Capital Investments

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Consumer Lenders

Continuing Legal Education

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Employee Benefits

Enforcement Priorities

Environmental Protection Agency (EPA)

FEPA

Food and Drug Administration (FDA)

HKEx

Market Manipulation

MD&A Statements

NCUA

New Legislation

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Registration Statement

Regulatory Authority

Renewable Energy

SEC Examination Priorities

Securities Dealers

Shareholder Activism

Statutory Violations

Sustainable Business Practices

XBRL Filing Requirements

Cease and Desist Orders

Commercial Bankruptcy

Department of Financial Protection and Innovation (DFPI)

Derivatives Clearing Organizations

Employment Contract

Entire Fairness Standard

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

Securities Tokens

Securitization Standards

Seventh Amendment

Shareholder Meetings

Administrative Stay

Bankruptcy Code

Bankruptcy Court

Business Judgment Rule

CDIs

Closed-End Funds

Corporations Code

Criminal Investigations

Data Collection

Debt Securities

Digital Wallets

FCPA Corporate Enforcement Policy (CEP)

Federal Contractors

Financial Services and Markets Act

Hiring & Firing

Incentive Compensation

Information Reports

Judicial Review

Know Your Customers

Limited Partnerships

Merger Agreements

Motion to Dismiss

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

Personal Information

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

Alternative Investment Funds

Anti-Fraud Provisions

Benefit Plan Sponsors

British Columbia Securities Commission

British Columbia Securities Commission (BCSC)

Business Disputes

Clearing Agencies

Commerce Clause

Commodities Traders

Corporate Taxes

Cybersecurity Information Sharing Act (CISA)

Debt

Department of Energy (DOE)

Designated Contract Markets (DCMs)

Digital Securities

Dispute Resolution

Equity Securities

Export Controls

FATF

General Data Protection Regulation (GDPR)

Information Technology

Initial Coin Offering (ICOs)

Innovative Technology

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Products

ISDA

Law Enforcement

Mortgage-Backed Securities

No-Action Letters

OECD

Passive Investments

Pay-for-Performance

Policy Statement

Private Equity Firms

Private Right of Action

Quarterly Report

Regulation Best Interest

Repurchase Agreements

Shareholder Votes

SRO

Third-Party Risk

Total Shareholder Return (TSR)

401k

Accounting Standards

AIFM

Antitrust Provisions

Appellate Courts

CEOs

Class Certification

Commercial Litigation

Consumer Protection Act

Corporate Financing

Corporate Sales Transactions

Credit Facilities

Critical Infrastructure Sectors

Data Management

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)

Indemnification

Individual Retirement Account (IRA)

Inflation Reduction Act (IRA)

Instant Messaging Apps

Insurance Industry

Legislative Agendas

Licensing Rules

Long-Term Investment Funds

Money Transmitter

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

Wealth Management

Acquisition Agreements

Activist Investors

Aiding and Abetting

Anti-Kickback Statute

Arbitrary and Capricious

Arbitration Agreements

ASIC

Business Development

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

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

Fees

FICC

Fraudulent Transfers

FSOC

General Corporation Law

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Inflation Adjustments

Institutional Investment

Internal Investigations

Internal Rate of Return (IRR)

Internal Reporting

Investment Fraud

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Material Misrepresentation

Monetary Authority of Singapore

Money Transmission Act

MSRB

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Prejudgment Interest

Primary Residence

Private Investment Funds

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 Companies

Business Divorce

Business Valuations

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

Centers for Medicare & Medicaid Services (CMS)

Central Bank Digital Currency (CBDCs)

Change of Control

Chicago Mercantile Exchange (CME)

Collateralized Loan Obligations

Consolidated Audit Trail

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

Emerging Technologies

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 Restatements

Financial Stability Board

Fixed Income Investments

Foreign Currency

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Guidance Update

Hart-Scott-Rodino Act

Health Insurance Portability and Accountability Act (HIPAA)

HMRC

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

IFRS

Incentive Awards

Information Governance

Information Security

Information Sharing

Injunctive Relief