Securities Finance & Banking

SEC CFTC Dodd-Frank EU Compliance Enforcement Actions FINRA Investment Adviser Broker-Dealer Disclosure Requirements JOBS Act Swaps European Securities and Markets Authority (ESMA) Banks UK Financial Institutions Investors Derivatives Reporting Requirements Financial Markets RMBS Crowdfunding Securities Banking Sector Popular Securities Exchange Act Fraud Enforcement Insider Trading Investment Funds Federal Reserve FCPA Financial Conduct Authority (FCA) Securities Fraud DOJ Fiduciary Duty Cybersecurity Swap Dealers FDIC Securities Act of 1933 Proposed Regulation Shareholders Regulation D Hedge Funds Startups Whistleblowers EMIR AIFMD General Solicitation SCOTUS Private Equity China Rule 506 Offerings European Commission ERISA Chief Compliance Officers Board of Directors Settlement CFPB Foreign Investment OCC Corporate Governance Accredited Investors OCIE IPO No-Action Letters No-Action Relief Financial Regulatory Reform Capital Markets Volcker Rule Executive Compensation Mortgages Major Swap Participants Registration Private Placements Final Rules Rating Agencies Risk Management Conflicts of Interest Class Action IRS Audits Canada Exemptions Emerging Growth Companies Publicly-Traded Companies Venture Capital Asset Management Brokers Investment Advisers Act of 1940 Commodities FinCEN Investment Management Advertising Corporate Counsel MiFID II Anti-Money Laundering Stocks Recordkeeping Requirements Mutual Funds AIFM Sarbanes-Oxley NFA Regulation A Due Diligence FHFA Fund Managers Investment Company Act of 1940 Prudential Regulation Authority Mortgage-Backed Securities Sanctions Financial Sector OTC Bitcoin CPO DOL JPMorgan Chase U.S. Treasury UCITS Breach of Duty IOSCO Libor Criminal Prosecution Public Offerings Foreign Banks Hong Kong Bonds Cross-Border Mary Jo White NYSE European Banking Authority Small Business Financial Statements Private Equity Funds Capital Requirements Securities Litigation Rule 144A Commodities Exchange Act PCAOB Virtual Currency Comment Period Capital Raising Margin Requirements MiFID Australia Nasdaq ISDA Risk Assessment Data Protection Municipal Advisers New Regulations Regulation S-K Security-Based Swaps Internal Controls Money Market Funds Commodity Pool Retirement Plan Social Media Transparency Ethics Municipal Bonds Registration Requirement Underwriting Collateralized Debt Obligations Investment Bribery High Frequency Trading MSRB CTA FCMs Filing Requirements Ponzi Scheme FTC Offerings Misrepresentation Proposed Amendments Oil & Gas Public Disclosure Cross-Border Transactions ETFs Market Manipulation Private Funds Appeals Bad Actors CEA Pensions Regulatory Standards Safe Harbors Bank Secrecy Act Basel Committee Marketing Asset-Backed Securities Bank of America Derivatives Clearing Organizations Corporate Officers Investment Companies Risk Retention Securitization SEFs Market Participants Whistleblower Awards Capital Formation GAAP Shareholder Litigation Citigroup Insurance Industry Futures Stress Tests Funding Portal Fannie Mae Goldman Sachs Regulatory Agenda Foreign Exchanges FSOC Arbitration Directors Statute of Limitations Disgorgement Freddie Mac Loans Civil Monetary Penalty Fixing America’s Surface Transportation Act (FAST Act) Initial Public Offerings Whistleblower Protection Policies Financial Reporting Financing ISS Proxy Statements Commercial Bankruptcy Disclosure White Collar Crimes Valuation Acquisitions Anti-Corruption Clawbacks Deutsche Bank Fees Auditors New Guidance Private Offerings Conflict Mineral Rules CPOs Morgan Stanley DSIO Material Nonpublic Information Moody's Municipalities Proxy Voting Guidelines REIT RTS Bank Holding Company Income Taxes Material Misstatements Mergers Algorithmic Trading Equity Financing Financial Services Industry Municipal Securities Issuers Penalties Alternative Investment Funds Basel III CCPs Motion to Dismiss Proprietary Trading Public Comment FIfth Third Bancorp v Dudenhoeffer Funding Money Laundering Proposed Legislation Data Breach Deadlines Entrepreneurs Trustees Amended Regulation CMBS Cyber Attacks Trading Platforms CEOs Custody Rule Employee Benefits Financial Services Authority Investigations False Statements Jurisdiction Strategic Enforcement Plan Benchmarks Fitch Interest Rates Listing Standards Pay-To-Play Shareholder Proposals Structured Financial Products C-Suite Executives Credit Ratings S&P UBS Barclays Liquidity Registration Statement Retaliation US v Newman 401k Hart-Scott-Rodino Act Preemption EB-5 End-Users ESOP New Legislation Prospectus SIFMA CME Exchange-Traded Products Hedging NCUA EDGAR Portfolio Managers Regulation FD Rulemaking Process SEC Examination Priorities Bank of England BSA/AML Capital Gains Collateralized Loan Obligations Corporate Issuers Corruption Data Security EEA FSB Stock Drop Litigation Administrative Hearings Employer Liability Issues FATCA Illegal Tipping Investor Protection Pay-for-Performance Registered Investment Advisors Young Lawyers Compensation Committee Energy Sector Incentive Compensation OFAC Risk Alert Risk Mitigation Spoofing Credit Default Swaps Pay Ratio Personal Benefit FERC Real Estate Investments DBRS Financial Adviser National Futures Association Personal Liability Supervision Swap Clearing Capital Markets Union Corporate Culture Dark Pool Debt Securities Deferred Prosecution Agreements Dismissals Institutional Investors Omnicare v Laborers District Council Ontario Securities Commission (OSC) Anti-Retaliation Provisions Central Counterparties Corporate Taxes European Central Bank Legislative Agendas Lenders Municipal Securities Market Proxy Season Say-on-Pay Short Sales Dividends FSMA Investment Portfolios IRA Pharmaceutical Industry Regulation Technical Standards (RTS) Self-Reporting Annual Reports Canadian Securities Administration EBA Government Investigations Guidance Update Rule 10b-5 Shareholder Activism Small Offering Exemptions Equity Securities Fines Internal Investigations Market Abuse MCDC Merrill Lynch MiFIR Misappropriation Non-GAAP Financial Measures Policies and Procedures Title III Bank of New York (BNY) Mellon Breach of Contract Facebook Internal Revenue Code (IRC) Investment Banks Japan Notice Requirements Omnicare Section 11 Shadow Banking Total Shareholder Return (TSR) Trust Preferred Securities Benefit Plan Sponsors Bernie Madoff Debt Equity Markets Filing Deadlines Financial Instruments Germany HSBC Judge Rakoff Rule 506(c) Derivative Suit Economic Development Hackers HUD Lehman Brothers NASD Repurchases Russia Suspicious Activity Reports Blue Sky Laws BRRD Cease and Desist Orders Class Certification Confidential Information Financial Crisis Form 10-K Mandatory Clearing Requirements Pending Legislation Threshold Requirements Administrative Proceedings ASIC Books & Records Creditors Diversity Life Sciences Position Limits Price Manipulation Qualified Mortgage Rule Subsidiaries US Bancorp Wells Fargo Data Privacy Form ADV Memorandum of Understanding NAV Proxy Advisors Regulatory Oversight Technical Standards Third-Party Clearing Agencies Counterparties Countrywide Foreign Official Forex Liquidation Neither Admit Nor Deny Settlements Professional Liability Wire Fraud Audit Committee Early Stage Companies Form D Filing Misleading Statements Personally Identifiable Information Proxy Access Rule Remuneration SIFIs Summary Judgment Swap Data Repositories Yahoo! Asset Valuations Credit Suisse Foreign Corporations Liquidity Coverage Ratio Private Investment Funds Scienter Securitization Vehicles Serious Fraud Office Solvency II Swap Execution Facilities Accounting Fraud FIRREA Indictments Tender Offers Waivers Websites Best Interest Contract Exemptions C&DIs Commodity Futures Contracts Extraterritoriality Rules False Claims Act (FCA) FinTech Foreign Currency Industry Examinations NEP Netflix Shareholder Rights SMEs UK Bribery Act Fixed Income Investments Hong Kong Securities and Futures Commission (HKSFC) Iran Sanctions NRSRO Resource Extraction SEC v Citigroup Uncleared Swaps Affiliates Arbitration Agreements Block Chain Business Development Companies Community Banks Confidentiality Agreements Consultation Disruptive Trading Practices EIOPA Equity Compensation FASB Foreign Nationals Identity Theft Information Sharing London Stock Exchange NASAA Political Contributions Securities Exchanges Singapore Stock Options ALJ Alternative Trading Systems Chapter 11 Duty of Prudence Fair Housing Act (FHA) Infrastructure Interest Rate Swaps Italy Liquidity Risk Management Rule Mining Natural Gas NPRM OECD Real Estate Market Renewable Energy Retirement Section 10(b) Seed Financing SFC Technology Sector Training Transparency Directive Beneficial Owner Business Valuations Bylaws Data Collection Disqualification Examination Priorities FFIEC Foreign Direct Investment Fraud-on-the-Market Legal Entity Identifiers Limited Partnerships Liquidity Fees Nonbank Firms Privately Held Corporations Rule 147 Standing Tax Reform Technology Third-Party Service Provider Trade Market Abuse ABS Angel Investors Anti-Bribery Attorney Generals Bank Holding Company Act Consumer Lenders Credit Rating Agencies EBITDA EU Directive EU Market Abuse Regulation (EU MAR) Federal Register G20 IFRS Investment Fraud SLUSA Surveys Terrorism Funding Trade Options Unregistered Brokers Bankruptcy Code BEA Biotechnology Block Trades Chevron Deference Convertible Debt ECON Filing Fees Foreclosure France GAO Hiring & Firing International Tax Issues Internet Luxembourg Partnerships Pension Funds Prudential Standards Regulation S-X Required Documentation SAR Settlement Agreements Truth in Lending Act (TILA) Venture Funding Wal-Mart Withholding Tax Administrative Procedure Act Commercial Real Estate Market Cooperation Cyber Threats Emerging Markets Glass Lewis Global Economy Hong Kong Stock Exchange Insolvency Intermediaries Investment Firms Payday Loans Payment Systems Peer-to-Peer Redemption Gates Regulation AB Regulation SHO Related Parties Student Loans AML-CTF Barack Obama BrokerCheck Business Judgment Rule Climate Change Covered Bonds Emerging Technology Companies Financial Crimes Finders Foreign Affiliates Foreign Private Issuers Form 8-K Form BE-10 Halliburton Internal Reporting Life Insurance Management Fees Merger Agreements Offering Fraud Pleading Standards Regulation S-P Regulation SCI Representations and Warranties Ring-Fencing Structured Finance Accounting Appraisal Attorney's Fees BitLicense Capital Requirements Regulation (CRR) Commodity Broker Controlling Stockholders Corporate Bonds Corporate Financing Cyber Crimes Debt Restructuring Electricity Employee Stock Purchase Plans Halliburton v Erica P. John Fund HM Treasury Information Reports Kickstarter Negligent Misrepresentation Offshore Funds Online Marketplace Lending Patriot Act Pre-Merger Filing Requirements Real Estate Development Secondary Markets Senior Managers Stock Trades Swap Market Ukraine Yates Memorandum Asia Bear Sterns CBOE Credit Cards Currency Transaction Reports (CTR) Depository Institutions Energy Energy Market Family Offices Forward Contracts Healthcare Individual Accountability Institutional Investment Member State Minority Shareholders Multinationals NY Supreme Court NYDFS Putative Class Actions Qualified Small Business Stock Silicon Valley Statement of Opinion Subprime Mortgages Time Extensions USCIS Visas Wall Street Administrative Appointments Aiding and Abetting Asset Diversification Automotive Industry Business Development Consumer Financial Products DCMs Enforcement Statistics G-SIB Going-Private Transactions Injunctions Leverage Ratio Manufacturers Meals-Gifts-and Entertainment Rules Negligence New Amendments NIST Pooled Investment Vehicles RBS Regulatory Agencies Retailers Securities Financing Transactions (SFTs) Securities Regulation Size of Persons Test Size of Transaction Test Statute of Repose Stock Exchange Tax Evasion Third-Party Risk Transfer Agents Twitter Amended Legislation CFOs Credit Unions Debt Financing Debt Market DMO Equity Plans Failure To Disclose Federal Budget Form S-1 Forum Selection Future Commission Merchants FX Swaps Gramm-Leach-Blilely Act International Harmonization Joint and Several Liability Mandatory Arbitration Clauses Middle East Omissions Restructuring Retail Market Richard Cordray Securitization Market Segregated Funds SPVs Tax Exemptions Tippees Title VII U.S. Commerce Department Unregistered Securities Aggregation Rules AIF AIG Automotive Loans Avon Bank Fraud BIS Broken Windows Cease and Desist Code of Conduct Criminal Conspiracy CSSF Cuba Debt Collection Debtors Default Designated Contract Market Digital Currency Duty of Care Exclusive Jurisdiction Exemptive Relief FCRA FDCPA Foreign Issuers Fraudulent Transfers Greece India ISDA Master Agreement Job Creation Joint Venture Legislative Committees Lending Leveraged Loans Licenses Limited Liability Companies Loss Causation Morrison v National Australia Bank Mortgage Loan Originators Petition for Writ of Certiorari Pump and Dump RICs Rule 14a-8 Saudi Arabia Sun Capital Partners Termination The Clayton Act Trust Indenture Act US Bank Variable Annuities Voting Rights Accounting Standards Africa Antitrust Litigation BaFin Best Practices Collective Investment Schemes Conspiracies Covered Entities CRD IV Directive D&O Insurance Delaware General Corporation Law Discovery Distressed Debt Electronic Trading False Advertising FATF Federal Jurisdiction FIRPTA First Amendment Floating NAV Form PF HKEx Independence Rules Material Disclosures Natural Resources OCR Offering Documents Permanent Injunctions Policy Violations PRA Protecting Americans from Tax Hikes (PATH) Act Proxy Access Reed Hastings Regulation M Retail Investors Royal Bank of Scotland Securities Act Security Risk Assessments Solar Energy Special Purpose Vehicles Spinoffs Stock Repurchases Tax Deductions TRACE Transfers Trusts Affordable Care Act Alternative Mutual Funds Analytics Annuities Background Checks Business Formation CalPERS Competition Consent Decrees Corporate Social Responsibility Covered Funds Currency Exchange Cyber Incident Reporting Elder Issues Excessive Fees Fair and Effective Markets Review (FEMR) FCPA Resource Guide Financial Products High-Yield Markets Holding Companies Interlocutory Appeals Internal Audit Functions Kickbacks Market Making Median Employee Non-Prosecution Agreements Outsourcing Petrobras Privacy Policy Professional Conferences Puerto Rico RESPA RICO SAFE SBIC Self-Regulatory Organizations Shareholder Approval Trade Repositories Utilities Sector Vendors Vesting Wash Trades Wells Notice Accounting Controls Alstom Annual Meeting Australian Securities and Investments Commission Balance Sheets Banking Crisis BCBS Best Management Practices BlackRock Borrowers Broker Commissions CFIUS Change in Control Collateral Controlled Foreign Corporations Convictions Covered Swap Entities (CSE) Damages De Minimus Quantity Exemption Deferred Compensation Eligible Contract Participant Employment Contract Equity Investors Evidence Fee-Shifting Financial Transaction Tax Foreign Subsidiaries Form N-PORT Form SD Incentive Stock Options International Banks KBR (formerly Kellogg Brown & Root) Licensing Rules Listing Rules Mexico OMWI Ontario Securities Act PSLRA Qualified Institutional Buyers Receivership Schedule 13D Senior Managers Insurers Regime (SMIR) Settlements SFO Shareholder Votes Tax-Exempt Bonds Trade Policy Valeant Verification Requirements Whole Foods XBRL Filing Requirements Alternative Investment Fund Managers Directive Appointments Clause Attorney-Client Privilege Best Interest Standard Bond Financing Class Action Arbitration Waivers Congressional Investigations & Hearings Cryptocurrency CSRC Delays Deposit Insurance Detroit Due Process Ernst & Young Exemptive Orders FBI Fifth Third Mortgage Company Final Guidance Financial Services Committee Fiscal Cliff Foreign Entities Foreign Markets Form N-Cen Fundraisers