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SEC EU CFTC Dodd-Frank Enforcement Actions Compliance FINRA Investment Adviser Broker-Dealer Disclosure Requirements UK Financial Markets European Securities and Markets Authority (ESMA) Swaps JOBS Act Popular Banks Derivatives Investors Reporting Requirements Financial Institutions Banking Sector Securities Financial Sector RMBS Investment Funds Crowdfunding Securities Exchange Act Financial Conduct Authority (FCA) Insider Trading Fiduciary Duty Federal Reserve Cybersecurity Fraud FCPA Securities Fraud Swap Dealers Enforcement DOJ EMIR Whistleblowers Shareholders Proposed Regulation Securities Act of 1933 Startups ERISA AIFMD FDIC Hedge Funds Private Equity China European Commission Regulation D MiFID II SCOTUS DOL Asset Management CFPB Foreign Investment IPO OCC Rating Agencies OCIE Corporate Governance Investment Advisers Act of 1940 Board of Directors General Solicitation Chief Compliance Officers Capital Markets No-Action Relief Conflicts of Interest Final Rules No-Action Letters 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Capital Formation EU Market Abuse Regulation (EU MAR) FTC Market Manipulation Basel Committee Public Disclosure SEFs Whistleblower Protection Policies FSOC Funding Portal High Frequency Trading Futures New Guidance Regulatory Agenda Fixing America’s Surface Transportation Act (FAST Act) Morgan Stanley Financial Reporting Securities Violations Asset-Backed Securities Commercial Bankruptcy Public Comment DBRS Marketing Ponzi Scheme 401k Arbitration Foreign Exchanges Statute of Limitations EEA Energy Sector Shareholder Litigation Bank of America CEA Citigroup Conflict Mineral Rules MiFIR Wells Fargo Regulation Technical Standards (RTS) Blockchain Non-GAAP Financial Measures Amended Regulation ISS Valuation Algorithmic Trading Bad Actors Corporate Officers Directors Fees Market Participants Penalties Registered Investment Advisors REIT CPOs CCPs Proposed Legislation Auditors Pay-To-Play Proxy Statements Disclosure Bank Secrecy Act Clawbacks Illegal Tipping Liquidity Municipal Securities Issuers Financing Trading Platforms Alternative Investment Funds Custody Rule Cyber Attacks Municipalities US v Newman Data Breach Income Taxes Barclays Basel III Proxy Voting Guidelines SEC Examination Priorities Bank Holding Company Investor Protection Motion to Dismiss C&DIs DSIO Entrepreneurs Interest Rates Pharmaceutical Industry Administrative Proceedings Anti-Corruption Financial Adviser Material Nonpublic Information Money Laundering Personal Benefit Shareholder Proposals Trustees Member State Prospectus Registration Statement Structured Financial Products Institutional Investors Benchmarks Benefit Plan Sponsors Best Interest Contract Exemptions Form ADV Germany Jurisdiction CEOs Confidential Information Private Offerings S&P Fannie Mae Internal Revenue Code (IRC) Listing Standards Spoofing Threshold Requirements BRRD Capital Markets Union EDGAR Pay Ratio BSA/AML Central Counterparties Deadlines Exchange-Traded Products Freddie Mac FSB Hart-Scott-Rodino Act Market Abuse Equity Financing European Central Bank FSMA Material Misstatements CME Dismissals FIfth Third Bancorp v Dudenhoeffer Financial Crisis Funding IRA Misappropriation New Legislation Proprietary Trading SIFMA Corporate Issuers Corruption False Statements Preemption Retaliation Risk Mitigation Bank of England EB-5 Hedging Strategic Enforcement Plan Technology Sector UBS Annual Reports Credit Ratings Risk Alert End-Users Japan Lenders Collateralized Loan Obligations Data Security ESOP Form 10-K Books & Records Financial Services Authority Portfolio Managers Rulemaking Process Young Lawyers C-Suite Executives Dark Pool Debt Securities Digital Currency Dividends NCUA Corporate Taxes Deferred Prosecution Agreements Incentive Compensation Investigations Proxy Season Anti-Retaliation Provisions Capital Gains Hong Kong Securities and Futures Commission (HKSFC) Italy Real Estate Investments Facebook FERC Guidance Update Stock Drop Litigation Canadian Securities Administration Cease and Desist Orders Credit Default Swaps Pay-for-Performance Self-Reporting Singapore Economic Development Equity Markets Personal Liability Policies and Procedures Administrative Hearings Consumer Financial Products Hackers Merrill Lynch Municipal Securities Market National Futures Association Rule 10b-5 Say-on-Pay Yahoo! Compensation Committee FATCA Financial Instruments Forex Internal Investigations Swap Clearing Corporate Culture Credit Suisse EBA Employer Liability Issues Lehman Brothers MCDC Memorandum of Understanding Ontario Securities Commission (OSC) Regulation FD Shadow Banking Suspicious Activity Reports (SARs) Technology Unregistered Brokers Bank of New York (BNY) Mellon Breach of Contract Filing Deadlines Foreign Currency Mandatory Clearing Requirements Position Limits Supervision False Claims Act (FCA) Investment Banks Investment Portfolios Price Manipulation Remuneration Retirement Consultation Consumer Lenders Equity Securities Fines France HSBC IFRS Legislative Agendas Omnicare v Laborers District Council Russia SIFIs Solvency II Summary Judgment Notice Requirements Offering Fraud Pending Legislation Rule 147 Shareholder Activism Uncleared Swaps Confidentiality Agreements Debt Diversity Government Investigations Industry Examinations Short Sales ALJ Beneficial Owner Early Stage Companies Excessive Fees Job Creation Liquidity Risk Management Rule Luxembourg Merger Agreements NASD Referendums ASIC Blue Sky Laws Capital Requirements Regulation (CRR) Class Certification Creditors Life Sciences NASAA NYDFS Online Marketplace Lending Private Investment Funds Real Estate Market Repurchases Resource Extraction SMEs FASB HM Treasury Rule 506(c) Section 11 Small Offering Exemptions Title III Business Development Companies Counterparties Derivative Suit EIOPA Examination Priorities Liquidity Coverage Ratio NAV Omnicare Pension Funds Political Contributions Regulation S-X Retail Investors Shareholder Rights Stock Options Structured Finance Technical Standards Third-Party Total Shareholder Return (TSR) Audit Committee Commodity Futures Contracts Corporate Financing Hiring & Firing Liquidation Neither Admit Nor Deny Settlements Proxy Advisors Subsidiaries Automotive Industry Commercial Real Estate Market Insolvency Interest Rate Swaps OFAC Stock Exchange Swap Execution Facilities Tippees Bankruptcy Code Block Trades Clearing Agencies Data Privacy EBITDA Investment Firms Judge Rakoff Misleading Statements Personally Identifiable Information Proxy Access Rule Securities Exchanges Serious Fraud Office Trust Preferred Securities Cross-Selling Disruptive Trading Practices Extraterritoriality Rules Hong Kong Stock Exchange Mining Securitization Vehicles Tax Reform US Bancorp Websites Accounting Fraud Credit Rating Agencies Fixed Income Investments Tender Offers US v Salman Administrative Appointments Bylaws Countrywide Foreign Corporations Foreign Private Issuers Interest Rate Adjustments OECD Qualified Mortgage Rule Chapter 11 Data Collection Debt Restructuring Form D Filing Indictments London Stock Exchange Netflix Packaged Retail And Insurance-Based Investment Products (PRIIPS) Professional Liability Proxy Access Renewable Energy Scienter Student Loans Swap Data Repositories Third-Party Service Provider Waivers Wire Fraud Withholding Tax XBRL Filing Requirements Asset Valuations Business Continuity Plans Covered Bonds CRD IV Directive Foreign Direct Investment Form 8-K HUD Limited Liability Company (LLC) Limited Partnerships AIF Alternative Trading Systems BaFin Community Banks Controlling Stockholders Cooperation Corporate Bonds Duty of Prudence ECON Equity Compensation EU Directive G20 Investment Fraud Natural Gas Payday Loans Registered Investment Companies (RICs) Securities Act Seed Financing Standing UK Bribery Act Affiliates Arbitration Agreements Asia Bank Accounts Dirks v SEC Distributed Ledger Foreign Official Global Economy Information Sharing ISDA Master Agreement Partnerships Peer-to-Peer Portfolio Companies Section 10(b) SnapChat Terrorism Funding Transparency Directive Ukraine Administrative Procedure Act Angel Investors Biotechnology Business Valuations Chevron Deference CSSF Federal Register FFIEC Glass Lewis Information Reports Infrastructure NPRM Required Documentation Ring-Fencing SFC Surveys Telecommunications Time Extensions Uber Yates Memorandum Bernie Madoff Climate Change DCMs Foreign Issuers Fraud-on-the-Market Ireland Mortgage Lenders Non-Public Information Privately Held Corporations Prudential Standards Saudi Arabia Secondary Markets Settlement Agreements Swap Market Tax Deductions Training Unregistered Securities ABS Accounting Standards Anti-Bribery Appointments Clause Auto Manufacturers Bank Holding Company Act Convertible Debt Credit Cards FIRREA Foreign Nationals Individual Accountability Intermediaries International Tax Issues Legal Entity Identifiers Liquidity Fees Management Fees NEP NRSRO Presidential Elections Putative Class Actions Regulation S-P Regulatory Agencies SEC v Citigroup Securities Financing Transactions (SFTs) Stock Markets Venture Funding Apple Default Depository Institutions Disqualification Electronic Trading Energy Market Filing Fees Financial Services Committee Finders GAO Inflation Adjustments International Harmonization Iran Sanctions Life Insurance Negligence Payment Systems Pleading Standards Regulation AT Regulation SCI Senior Managers Silicon Valley SLUSA Takeover Bids Tax Evasion TRACE Trade Market Abuse Trade Options Truth in Lending Act (TILA) Twitter Valeant Voting Rights AML-CTF Borrowers Code of Conduct Corp Fin Cryptocurrency Debt Collection Delays Distressed Debt Emerging Markets Employee Stock Purchase Plans Failure To Disclose Foreclosure G-SIB Healthcare Internal Reporting Internet Listing Rules Minority Shareholders Negligent Misrepresentation RBS Tax Exemptions Aggregation Rules AIG Appraisal BEA CDIs Commodity Broker Electricity European Supervisory Authorities (ESAs) Foreign Affiliates Google Identity Theft Implementing Technical Standards (ITS) Meals-Gifts-and Entertainment Rules Multinationals New Amendments Nonbank Firms NY Supreme Court Offshore Funds Real Estate Development Redemption Gates Regulation AB Regulation SHO Regulatory Reform Related Parties Representations and Warranties Retail Market Retailers SAR Volkswagen Wall Street Attorney's Fees Big Data Business Development Cyber Threats Debt Market Delaware General Corporation Law Designated Contract Market Economic Sanctions Elder Issues EMMA Executive Orders FATF Financial Crimes First Amendment FX Swaps Halliburton Halliburton v Erica P. John Fund Holding Companies India Loss Causation Omissions Pooled Investment Vehicles Royal Bank of Scotland Rule 504 Securities Regulation Statute of Repose Aiding and Abetting Asset Diversification Barack Obama Business Judgment Rule CBOE Criminal Conspiracy Cyber Crimes Deferred Compensation Emerging Technology Companies Enforcement Statistics Fair Housing Act (FHA) Form BE-10 Fraudulent Transfers Future Commission Merchants Innovation Leverage Ratio Licensing Rules Manufacturers Permanent Injunctions Qualified Small Business Stock Required Forms Restructuring Smaller Reporting Companies Supply Chain Tesla Third-Party Risk Visas Wal-Mart Accounting AMF Automotive Loans Bail-In Provisions Bear Sterns BrokerCheck Cease and Desist Collateral Collective Investment Schemes Covered Entities Credit Unions Debt Financing Deregulation Duty of Care Family Offices Form N-PORT Form S-1 Forward Contracts General Motors Going-Private Transactions HKEx Kickstarter Mexico Petition for Writ of Certiorari Pre-Merger Filing Requirements Proposed Rules Puerto Rico Reversal RICs Securitization Market Split of Authority Termination Tippers Trust Indenture Act Trusts U.S. Commerce Department USCIS Variable Annuities Annuities BCBS BitLicense CFOs Competition Corporate Social Responsibility Currency Exchange Currency Transaction Reports (CTR) Discovery Equity Plans Exemptive Relief Global Market Golden Leash Arrangements Gramm-Leach-Blilely Act Institutional Investment Joint Venture Leveraged Loans Middle East Monetary Authority of Singapore MTFs Non-Prosecution Agreements Prepaid Payment Products Private Equity Firms Qualified Client Rule 14a-8 SAFE Segregated Funds Solar Energy Special Purpose Vehicles Statement of Opinion Stock Trades Sun Capital Partners Tax-Exempt Bonds Title VII Tolling US Bank Affordable Care Act Attorney-Client Privilege Bank Fraud Best Interest Standard BIS Burden of Proof CFIUS Citibank Compensation Agreements Consent Order Contract Terms De Minimus Quantity Exemption DMO Exploitation FDCPA Federal Budget Federal Pilot Programs Fee Disclosure Foreign Subsidiaries Form PF Form SD Forum Selection Greece Housing Market Injunctions Kickbacks Lending Mandatory Arbitration Clauses Morrison v National Australia Bank Natural Resources PRA Regulation M Schedule 13D Shareholder Votes Size of Persons Test Size of Transaction Test Subprime Mortgages Tier 2 Offerings Vendors Verizon Africa AIFs Amended Legislation Best Practices BlackRock Brazil Broken Windows Broker Commissions CalPERS Central Bank of Ireland Commission Delegated Regulation Controlled Foreign Corporations Covered Funds Debtors Distribution Rules Due Process EFTs Employment Contract FCRA Floating NAV Foreign Entities Form N-Cen Green Bonds Innovative Technology International Arbitration Legislative Committees Minerals Mortgage Servicers NIST Oil Prices OSHA Patriot Act Prejudgment Interest Private Right of Action Protecting Americans from Tax Hikes (PATH) Act Pump and Dump RICO Rule 21F Section 409A Shareholder Approval Spinoffs SPVs Swing Pricing The Clayton Act Theranos Whole Foods Attorney Generals Bailout Benchmarking Bilateral Investment Treaties
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