Securities Finance & Banking

SEC CFTC Dodd-Frank Compliance EU FINRA Enforcement Actions Swaps JOBS Act Broker-Dealer Investment Adviser Disclosure Requirements Banks Enforcement Fraud RMBS Securities Reporting Requirements Investors ESMA Derivatives Securities Exchange Act Federal Reserve Crowdfunding General Solicitation FCPA Swap Dealers Insider Trading Rule 506 Offerings Regulation D Securities Act of 1933 FDIC Securities Fraud Hedge Funds DOJ Settlement Registration Whistleblowers Financial Regulatory Reform AIFMD IPO Popular SCOTUS UK Shareholders Private Equity No-Action Letters Accredited Investors Volcker Rule OCC Startups Investment Funds Chief Compliance Officers CFPB Advertising No-Action Relief Mortgages EMIR Audits China CPO Private Placements Fiduciary Duty Foreign Investment Cybersecurity ERISA Major Swap Participants OCIE Banking Sector Class Action AIFM Brokers Mortgage-Backed Securities Foreign Banks European Commission Proposed Regulation FHFA Corporate Governance Rule 144A Rating Agencies Issuers Risk Management Exemptions Cross-Border Investment Advisers Act of 1940 Board of Directors IRS Social Media Stocks NFA OTC Commodity Pool Canada Final Rules Sarbanes-Oxley Bad Actors Mary Jo White Collateralized Debt Obligations Fund Managers JPMorgan Chase Investment Company Act of 1940 Public Offerings Regulation A Ponzi Scheme Venture Capital Conflicts of Interest Ethics FCMs Financial Conduct Authority Hong Kong Nasdaq NYSE Executive Compensation Municipal Advisers New Regulations Publicly-Traded Companies Recordkeeping Requirements Small Business Due Diligence FCA Money Market Funds Commodities CTA Public Disclosure Asset-Backed Securities CEA Underwriting FinCEN Marketing Asset Management Municipal Bonds Securities Litigation Citigroup Emerging Growth Companies Mutual Funds Private Equity Funds Bank of America Bonds Libor Capital Markets Commodities Exchange Act MiFID Anti-Money Laundering Criminal Prosecution Fannie Mae ISDA Data Protection High Frequency Trading Municipalities PCAOB Private Funds Prudential Regulation Authority Risk Assessment U.S. Treasury Conflict Mineral Rules Freddie Mac Funding IOSCO Corporate Counsel Directors Foreign Exchanges Sanctions Arbitration Australia Bitcoins DSIO Financial Services Authority Investment Management Virtual Currency Statute of Limitations Futures Investigations Deadlines Risk Retention SEFs Financial Institutions MSRB Pensions Appeals ISS Safe Harbors Security-Based Swaps Strategic Enforcement Plan Bribery Fees Private Offerings Transparency FSOC FTC Proprietary Trading Regulation FD White Collar Crimes Internal Controls Misrepresentation Custody Rule ETFs Filing Requirements Whistleblower Awards UBS Whistleblower Protection Policies Derivatives Clearing Organizations DOL European Banking Authority Goldman Sachs Proxy Voting Guidelines FIfth Third Bancorp v Dudenhoeffer Anti-Corruption Margin Requirements Market Participants Proposed Amendments ESOP Income Taxes Listing Standards Basel Committee Cross-Border Transactions Financial Statements S&P Stress Tests Alternative Investment Funds Basel III Breach of Duty Capital Requirements CPOs Disclosure Oil & Gas Retirement Plan Trustees UCITS Valuation Bank Holding Company Bank Secrecy Act C-Suite Executives Compensation Committee Credit Ratings Financial Markets Proxy Statements Rulemaking Process Shareholder Litigation SIFMA Regulation S-K Acquisitions Hedging Material Misstatements Material Nonpublic Information Morgan Stanley Short Sales Employee Benefits Employer Liability Issues GAAP Omnicare Proposed Legislation Trust Preferred Securities EEA Facebook Penalties Retaliation Say-on-Pay CME Financing Loans Pay-To-Play Regulatory Standards Auditors Deutsche Bank Judge Rakoff Jurisdiction Moody's NCUA Omnicare v Laborers District Council Portfolio Managers Regulatory Agenda Bernie Madoff End-Users FERC Legislative Agendas Mergers Civil Monetary Penalty Corporate Officers Disgorgement Fitch Illegal Tipping FATCA HUD Market Manipulation Municipal Securities Issuers New Legislation Rule 10b-5 Rule 506(c) Section 11 US v Newman Administrative Hearings Collateralized Loan Obligations Commercial Bankruptcy False Statements Motion to Dismiss Qualified Mortgage Rule Stock Drop Litigation Fines Interest Rates Money Laundering Netflix Registration Statement Structured Financial Products NEP Notice Requirements Position Limits Proxy Advisors SEC v Citigroup Shareholder Proposals Annual Reports CCPs Corruption Deferred Prosecution Agreements Equity Financing Equity Securities NAV Prospectus Small Offering Exemptions US Bancorp Amended Regulation Capital Gains Dismissals Economic Development Entrepreneurs Financial Reporting FIRREA Mandatory Clearing Requirements MCDC Preemption Professional Liability 401k Class Certification Cyber Attacks Exchange-Traded Products Form D Filing Hart-Scott-Rodino Act OFAC Proxy Season Swap Clearing Threshhold Requirements Title III Algorithmic Trading Capital Formation CEOs Data Breach EB-5 Liquidity Fees Public Comment Risk Mitigation Securitization Subsidiaries Waivers Anti-Retaliation Provisions Countrywide Credit Default Swaps Extraterritoriality Rules Offerings Personal Liability Russia Tender Offers Arbitration Agreements CMBS Insurers Memorandum of Understanding Neither Admit Nor Deny Settlements SFC Bank Holding Company Act Barclays Breach of Contract Corporate Culture EDGAR Foreign Corporations Misappropriation Nonbank Firms Real Estate Investments REIT Risk Alert Self-Reporting Disqualification FHA Filing Deadlines Financial Adviser HSBC Identity Theft Municipal Securities Market Personal Benefit Redemption Gates Regulation AB Repurchases Resource Extraction Swap Data Repositories Technology Clawbacks Clearing Agencies Energy Internal Investigations Lehman Brothers Merrill Lynch NRSRO Remuneration Securitization Vehicles Third-Party Affiliates Asset Valuations Attorney Generals Canadian Securities Administration DBRS Debt Derivative Suit Equity Compensation False Claims Act Guidance Update Japan Legal Entity Identifiers Liability Liquidation NASAA NASD Payday Loans Registration Requirement Shareholder Activism SIFIs Stock Options Supervision ASIC Bank of England Benchmarks Blue Sky Laws Books & Records Community Banks Corporate Taxes FSB Information Sharing Lenders Private Investment Funds Real Estate Market Shareholder Rights Tax Reform ABS Accounting Fraud Angel Investors Barack Obama Benefit Plan Sponsors Bylaws Chapter 11 Chevron Deference Dark Pool Equity Markets European Central Bank Family Offices Future Commission Merchants Infrastructure Institutional Investment Licenses Liquidity Coverage Ratio Natural Gas Pending Legislation Segregated Funds Statement of Opinion Swap Execution Facilities Title VII UK Bribery Act Visas Wells Fargo Block Trades Debt Securities Employee Stock Purchase Plans FFIEC Foreclosure Fraud-on-the-Market Halliburton Mining Offshore Funds Proxy Access Rule Richard Cordray SLUSA Swap Market TILA Administrative Procedure Act Bear Sterns Bitcoin CBOE Commodity Futures Contracts Confidentiality Agreements Consent Decrees Diversity Dividends Funding Portal Halliburton v Erica P. John Fund Hong Kong Stock Exchange Industry Examinations Interlocutory Appeals Internet Investment Companies Middle East Misleading Statements New Amendments New Guidance Officers Political Contributions Reed Hastings Required Documentation Statute of Repose Subprime Mortgages Summary Judgment Twitter Venture Funding Business Development Companies Business Judgment Rule Controlling Stockholders Creditors Finders Foreign Currency Foreign Official Form SD G20 GAO Glass Lewis International Harmonization International Tax Issues Market Making Minority Shareholders National Futures Association Natural Resources Pharmaceutical Regulation M Regulation SCI Retailers Retirement Scienter Section 10(b) Shadow Banking Stock Trades Trade Market Abuse Wall Street Websites Accounting Controls Alternative Mutual Funds Biotechnology Conspiracies Corporate Issuers Credit Suisse Disruptive Trading Practices Duty of Prudence Eligible Contract Participant Energy Sector Enforcement Statistics Equity Plans Exemptive Relief Fifth Third Mortgage Company Financial Products Foreign Markets Form 10-K FX Swaps Independence Rules Indictments Investment Portfolios IRA Mortgage Loan Originators OSC Pharmaceutical Manufacturers Price Manipulation REITS Self-Regulatory Organizations Standing Student Loans Verification Requirements Accounting Aggregation Rules Alternative Trading Systems Annual Meeting Asia Banking Crisis Broken Windows Confidential Information Credit Cards Debtors Designated Contract Market Detroit FASB Financial Transaction Tax Fiscal Cliff Fixed Income Investments Floating NAV Foreign Nationals FSMA Going-Private Transactions Gramm-Leach-Blilely Act Healthcare Interest Rate Swaps Internal Audit Functions Iran Sanctions Legislative Committees Life Sciences London Stock Exchange MiFID II NIST Non-Prosecution Agreements Policy Violations Qualified Small Business Stock Red Flags Rule Renewable Energy Secondary Markets Seed Financing SFO Spoofing SPVs Title IV Trade Options Transfer Agents USCIS Utilities Sector Wal-Mart American Taxpayer Relief Act Appraisal Asset Diversification Background Checks BrokerCheck Business Formation CFIUS Chadbourne & Parke LLP v Troice Credit Unions Debt Collection Deferred Compensation Escrow Accounts Exemptive Orders FCPA Resource Guide First Amendment Form PF Gabelli v SEC Global Economy Government Investigations Hurricane Sandy Injunctions Insolvency Investor Protection Iran Threat Reduction and Syria Human Rights Act Kickstarter Lawson v FMR Lending MF Global Multinationals Negligent Misrepresentation Prudential Standards Push-Out Requirements RBS Real Estate Development Third-Party Risk Tolling Training US Bank Wire Fraud Ability-to-Repay Africa AIG ALJ Anti-Bribery Antitrust Litigation Best Management Practices BIS BitLicense Business Development C&DIs Chapter 9 Class Action Arbitration Waivers Contract Drafting Contractors COSO Default Emerging Technology Companies Ernst & Young Evidence Examination Priorities Expungement Fair Lending FCRA Federal Budget Fiduciary Liability Filing Fees Financial Instruments FOFA Reforms Forward Contracts Hiring & Firing Hotels Housing Finance Reform Housing Market Information Reports Investment Banks Joint Venture Licensing Rules Limited Partnerships Manufacturers Minerals Morrison v National Australia Bank Municipal Bankruptcy Non-Enforcement Nvidia OECD Ontario Securities Commission Peer-to-Peer Preferred Shares Privately Held Corporations Receivership Regulation S-X Representations and Warranties Royal Bank of Scotland SAFE SEC Examination Priorities SEHK Swap Agreements Time Extensions Trade Policy Transaction Fees Ukraine Wash Trades Whole Foods Accountants Attorney's Fees Australian Securities and Investments Commission Bankruptcy Code Beneficial Owner Bonuses Business Valuations CalPERS CFOs Commercial Real Estate Market Condominiums Corporate Bonds Covered Entities D&O Insurance Data Collection DMO Emerging Markets EMMA Exchange Offer FBAR Financial Crimes Foreign Jurisdictions Foreign Subsidiaries Fundraisers Golden Parachutes Government Shutdown IFRS Leveraged Loans Life Insurance Loss Causation Mortgage Loan Servicing Standards MTFs Negligence Non-Convertible Debt Securities Non-Disclosure Agreement Non-Judicial Settlement Agreements Offshore Companies OSHA Pay Ratio Payment Systems Professional Conferences Putative Class Actions Qualified Institutional Buyers Restructuring Reverse Mergers RICO Ring-Fencing Rule 156 Senate Banking Committee Sequestration Solar Energy Sovereign Debt Stock Repurchases Supervisors Tax Evasion Tax Exemptions Termination The Clayton Act Trade Repositories Transfers Trusts TSX Venture Exchange Administrative Appointments Admissions of Liability Aiding and Abetting Alstom Annuities Automotive Industry Avon Bank Fraud Borrowers BVI Business Companies Code of Conduct Collateral Compensation & Benefits Competition Complex Financial Products Convertible Debt Convictions Cooperation Initiative Corporate Management Corporate Sales Transactions Covered Bonds Currency Exchange Delegation Clauses Dell Electricity Electronic Communications Email EU Directive Extensions False Advertising FDCPA Federal Arbitration Act Financial Companies Forex Forfeiture FX Forwards G-SIB Gain Exclusion GSE Guaranteed Introducing Brokers HKEx Incentive Stock Options India IRC Joint Audit Committee KBR (formerly Kellogg Brown & Root) Mandatory Arbitration Clauses Margin Calls Metals Mortgage REITS Oversight Committee PBGC Personal Jurisdiction Pleading Standards Pooled Investment Vehicles Pre-Merger Filing Requirements Privacy Policy Ranieri Partners Recess Appointments Regulation S Regulation Z Reinsurance Residual Interest RESPA RICs Rule 10(b) SAR SBA Scams Section 409A Segregation Requirements Shareholder Votes Siemens SIPA Size of Persons Test Size of Transaction Test Subcontractors Subpoenas Suitability Rule Supply Chain Tax-Exempt Bonds Technical Standards Unfair or Deceptive Trade Practices Unregistered Securities Ways and Means Committee Withholding Tax 10b5-1 Plans Administrative Review Board Advisory Opinions Affordable Care Act Amended Legislation ATMs Attorney-Client Privilege Bank of New York Mellon Bona Fide Hedging Broker Commissions Business Conduct Standards Business Litigation CARDS Cease and Desist CICIs Clearing Members Commercial End-User Exception Consultation Continuity of Enterprises Controlled Foreign Corporations Corporate Financing Corporate Financing Rule Corporate Social Responsibility Covenant of Good Faith and Fair Dealing Credit Reports Debt Ceiling Debt Financing Delaware General Corporation Law Delays Deloitte Department of Business Oversight Disciplinary Proceedings Discrimination Documentation Duty of Care ECOA Employment Contract Entrepreneur Access to Capital Act ETMFs European Securities and Markets Authority Falsified Documents FATF FBI Federal Rules of Civil Procedure Final Guidance Financial Accounting Standards Board FMR LLC Foreign Affiliates Form 10-Q Form ADV Forum Selection Clause France Fraudulent Inducement Fraudulent Transfers Fundersclub.com Germany Good Faith Hostile Takeover ICE Immigrants Incentive Compensation Intermediaries International Banks Investment Fraud ISDA Master Agreement Joint and Several Liability KPMG Latin America Legal Perspectives LiquidAlts LLC Misallocation of Funds MOFCOM Net Investment Income Novation Offshore Listings Ontario Securities Act Oppenheimer & Co. Pay-for-Performance Pension Funds Peregrine Financial Group Prejudgment Interest Privacy Laws Qualified Retirement Plans QuickScore Reasonableness Factors Regulation Rescission Retail Market Robocalling Rule 14a-8 SAC Capital Section 716 Securities Dealers Sentencing Singapore SIPC Social Media Policy Social Networks State and Local Government State-Owned Enterprises Surveys TARP Third-Party Service Provider TRACE U.S. Bancorp Unjust Enrichment Voting Rights Wells Notice WKSIs Year-End Planning American Pipe & Construction Co. v. Utah Arbitrage Arbitrators ASX Listing Rules ATS Banging the Close Big Data Bond Financing Certifications Chamber of Commerce Charles Schwab Claim Preclusion Clean Tech Commercial Loans Commercial Paper Commodity Broker Common Stock Complex Litigation Corporate Gifts Covered Funds Credit Rating Agencies Cuba Customer Funds Protection Cybersecurity Framework