Securities Finance & Banking

SEC CFTC Dodd-Frank Compliance EU FINRA Enforcement Actions Swaps JOBS Act Investment Adviser Broker-Dealer Disclosure Requirements Banks Securities Enforcement RMBS Fraud Reporting Requirements Derivatives ESMA Investors Securities Exchange Act Federal Reserve FCPA Crowdfunding Swap Dealers General Solicitation Insider Trading Securities Fraud Regulation D FDIC Securities Act of 1933 DOJ Rule 506 Offerings Hedge Funds Popular Investment Funds Shareholders UK Whistleblowers Settlement Financial Regulatory Reform Chief Compliance Officers AIFMD IPO SCOTUS Registration Private Equity Startups OCC Accredited Investors No-Action Letters CFPB Fiduciary Duty Volcker Rule EMIR Cybersecurity No-Action Relief Banking Sector Mortgages Foreign Investment Advertising ERISA Audits China Major Swap Participants Proposed Regulation Private Placements OCIE European Commission CPO Corporate Governance Issuers Class Action Executive Compensation Brokers Rating Agencies Mortgage-Backed Securities AIFM Foreign Banks FHFA Board of Directors Canada Risk Management Regulation A Stocks Rule 144A Financial Institutions IRS Exemptions Cross-Border Investment Advisers Act of 1940 Financial Conduct Authority OTC Public Offerings Final Rules Publicly-Traded Companies Commodities NFA Conflicts of Interest Fund Managers Sarbanes-Oxley Social Media Ethics Small Business Commodity Pool Investment Company Act of 1940 Bad Actors Recordkeeping Requirements Mary Jo White FCA Money Market Funds Collateralized Debt Obligations Hong Kong Capital Markets NYSE Ponzi Scheme Due Diligence JPMorgan Chase Nasdaq New Regulations Venture Capital Asset Management Emerging Growth Companies FCMs Municipal Advisers Mutual Funds Investment Management Criminal Prosecution Libor Public Disclosure Bonds Sanctions Underwriting Asset-Backed Securities CEA MiFID Corporate Counsel CTA FinCEN Municipal Bonds Private Equity Funds Virtual Currency Australia ISDA Commodities Exchange Act Marketing Anti-Money Laundering Fannie Mae Prudential Regulation Authority Risk Assessment Bank of America Citigroup Securities Litigation Appeals Freddie Mac High Frequency Trading Private Funds Proposed Amendments Financial Markets Data Protection IOSCO PCAOB Security-Based Swaps U.S. Treasury DOL Municipalities SEFs Statute of Limitations DSIO Futures Pensions Conflict Mineral Rules Directors MSRB Arbitration Bitcoins Foreign Exchanges Private Offerings Bribery Funding Safe Harbors Investigations Regulation S-K Risk Retention Deadlines Financial Services Authority ISS Proxy Statements Whistleblower Awards European Banking Authority Filing Requirements FSOC Internal Controls Misrepresentation Strategic Enforcement Plan Transparency Breach of Duty Proprietary Trading Retirement Plan Fees FTC ETFs UCITS Capital Requirements Cross-Border Transactions Derivatives Clearing Organizations Regulation FD Shareholder Litigation Basel Committee Custody Rule Financial Statements Income Taxes Stress Tests Whistleblower Protection Policies Anti-Corruption Disclosure Goldman Sachs UBS Market Participants Material Misstatements Proxy Voting Guidelines Bank Holding Company C-Suite Executives Deutsche Bank FIfth Third Bancorp v Dudenhoeffer Margin Requirements Oil & Gas Regulatory Agenda S&P White Collar Crimes Bank Secrecy Act Listing Standards Acquisitions Alternative Investment Funds Basel III ESOP Financing SIFMA Trustees Valuation Material Nonpublic Information Rulemaking Process Compensation Committee CPOs GAAP Hedging Morgan Stanley Regulatory Standards Credit Ratings Employer Liability Issues Market Manipulation Proposed Legislation Retaliation End-Users Mergers Penalties Short Sales Small Offering Exemptions Employee Benefits Municipal Securities Issuers Administrative Hearings Auditors Capital Formation Equity Financing Illegal Tipping Loans Moody's Omnicare v Laborers District Council Pay-for-Performance Say-on-Pay CME Commercial Bankruptcy Corporate Officers EEA Omnicare Trust Preferred Securities Facebook Fitch Jurisdiction Motion to Dismiss New Legislation Pay-To-Play Registration Statement Structured Financial Products US v Newman Bernie Madoff Civil Monetary Penalty FERC Judge Rakoff Legislative Agendas Portfolio Managers Section 11 Shareholder Proposals Amended Regulation Disgorgement Entrepreneurs NCUA Preemption Rule 10b-5 Dismissals FATCA Securitization Stock Drop Litigation Annual Reports EDGAR False Statements HUD Interest Rates Money Laundering Public Comment 401k Collateralized Loan Obligations Exchange-Traded Products CCPs Equity Securities Financial Reporting MCDC Prospectus Proxy Advisors Qualified Mortgage Rule Rule 506(c) Total Shareholder Return (TSR) Capital Gains FIRREA Mandatory Clearing Requirements NAV Risk Mitigation US Bancorp Corruption Data Breach Deferred Prosecution Agreements Fines Guidance Update NEP Netflix New Guidance Notice Requirements OFAC Position Limits SEC v Citigroup Algorithmic Trading CEOs Clawbacks CMBS Cyber Attacks EB-5 Investment Companies Offerings Personal Benefit Professional Liability Proxy Season Class Certification Economic Development Form D Filing Merrill Lynch Subsidiaries Swap Clearing Threshhold Requirements Anti-Retaliation Provisions Bank of England Derivative Suit Hart-Scott-Rodino Act Internal Investigations Liquidity Fees Memorandum of Understanding Misappropriation Municipal Securities Market Real Estate Investments Registration Requirement Waivers Blue Sky Laws Canadian Securities Administration Credit Default Swaps Diversity Financial Adviser HSBC NASD Personal Liability Self-Reporting SFC Tender Offers Arbitration Agreements Bank Holding Company Act Breach of Contract Corporate Culture Countrywide Equity Markets Extraterritoriality Rules Foreign Corporations Russia Title III ASIC Barclays Books & Records DBRS Disqualification Filing Deadlines Insurers Nonbank Firms Shareholder Activism Technology Benchmarks Benefit Plan Sponsors Debt Securities Lehman Brothers MiFID II Neither Admit Nor Deny Settlements Proxy Access Rule Redemption Gates REIT Repurchases Risk Alert Securitization Vehicles Supervision Swap Data Repositories Affiliates Clearing Agencies Community Banks Corporate Taxes Equity Compensation FHA FSB Identity Theft Lenders Real Estate Market Regulation AB Resource Extraction Shareholder Rights SIFIs Stock Options Third-Party ABS Debt Energy Energy Sector Industry Examinations Japan Legal Entity Identifiers Liquidation NASAA NRSRO Payday Loans Remuneration Venture Funding Wire Fraud Asset Valuations Attorney Generals Chapter 11 False Claims Act Liability Liquidity Coverage Ratio National Futures Association Pending Legislation Price Manipulation Tax Reform Accounting Fraud Administrative Procedure Act Bitcoin Bylaws Creditors Dark Pool Dividends European Central Bank Family Offices Finders Form 10-K Form ADV Forward Contracts Information Sharing Infrastructure Institutional Investment Mining Private Investment Funds Statement of Opinion Stock Trades Visas Websites Asia Barack Obama Chevron Deference Commodity Futures Contracts Foreclosure Foreign Currency Form BE-10 Fraud-on-the-Market Future Commission Merchants Government Investigations Hong Kong Stock Exchange Indictments IRA Licenses Natural Gas New Amendments Segregated Funds Shadow Banking SLUSA Spoofing SPVs Subprime Mortgages Summary Judgment Swap Execution Facilities Title VII Trade Market Abuse UK Bribery Act Wells Fargo Bear Sterns Block Trades Business Judgment Rule Confidentiality Agreements Controlling Stockholders Corporate Issuers Employee Stock Purchase Plans FFIEC Fixed Income Investments Foreign Affiliates FSMA FX Swaps Halliburton Insolvency International Tax Issues Internet Middle East Minority Shareholders Misleading Statements Offshore Funds Regulation SCI Retirement Richard Cordray Section 10(b) Student Loans Swap Market TILA ALJ Biotechnology Business Development Business Development Companies CBOE Consent Decrees Credit Cards Financial Services Industry Foreign Official Form SD Glass Lewis Halliburton v Erica P. John Fund Hiring & Firing Interlocutory Appeals International Harmonization Legislative Committees Life Sciences Natural Resources Officers Ontario Securities Commission OSC Pharmaceutical Manufacturers Political Contributions Reed Hastings Required Documentation Retailers Standing Statute of Repose Twitter Wal-Mart Accounting Accounting Controls Angel Investors Bankruptcy Code BitLicense BrokerCheck Confidential Information Conspiracies Credit Suisse DMO Duty of Prudence Enforcement Statistics Equity Plans Financial Products Foreign Direct Investment Funding Portal G20 GAO Information Reports Interest Rate Swaps Investment Banks Market Making Pay Ratio Pharmaceutical Privately Held Corporations Real Estate Development Regulation M REITS Scienter Trade Options Wall Street Alternative Mutual Funds Appraisal BEA Best Management Practices Business Formation Disruptive Trading Practices EBA Eligible Contract Participant Exemptive Relief Fifth Third Mortgage Company Floating NAV Foreign Markets Healthcare Independence Rules Injunctions Internal Audit Functions Investment Portfolios Iran Sanctions IRC Life Insurance London Stock Exchange Mortgage Loan Originators Regulation S-X Representations and Warranties Secondary Markets Self-Regulatory Organizations Technical Standards Third-Party Risk Training Transfer Agents Ukraine US Bank USCIS Utilities Sector Aggregation Rules Alternative Trading Systems Annual Meeting Anti-Bribery Background Checks Broken Windows Convertible Debt Counterparties Credit Unions Debtors Designated Contract Market Detroit Ernst & Young EU Directive Evidence FASB Fiduciary Standard Financial Transaction Tax Fiscal Cliff Foreign Nationals Forex Form PF Global Economy Going-Private Transactions Gramm-Leach-Blilely Act IFRS Investor Protection Lending Limited Partnerships Loss Causation Multinationals Negligent Misrepresentation NIST Policy Violations Prudential Standards Qualified Small Business Stock RBS Red Flags Rule Renewable Energy Royal Bank of Scotland Seed Financing SFO Singapore Time Extensions Verification Requirements American Taxpayer Relief Act Asset Diversification Banking Crisis BSA/AML Business Valuations C&DIs CFIUS Chadbourne & Parke LLP v Troice Chapter 9 Commercial Real Estate Market Contract Drafting Data Collection Debt Collection Default Deferred Compensation Emerging Technology Companies Escrow Accounts Examination Priorities Exemptive Orders Fair and Effective Markets Review (FEMR) FCPA Resource Guide Fiduciary Liability Final Guidance Financial Instruments First Amendment Form 8-K Forum Selection Clause Gabelli v SEC Hurricane Sandy Iran Threat Reduction and Syria Human Rights Act Kickstarter Lawson v FMR MF Global Municipal Bankruptcy Non-Prosecution Agreements Pension Funds Preferred Shares Professional Conferences Push-Out Requirements Putative Class Actions Receivership SAFE SEC Examination Priorities Stock Repurchases Swap Agreements Title IV Tolling Transaction Fees XBRL Filing Requirements Young Lawyers Ability-to-Repay Accountants Africa AIG Amended Legislation Antitrust Litigation Attorney's Fees Australian Securities and Investments Commission Bank Fraud Beneficial Owner BIS CalPERS Class Action Arbitration Waivers Comment Period Consultation Controlled Foreign Corporations COSO Currency Exchange D&O Insurance Debt Financing Delaware General Corporation Law Emerging Markets Expungement Fair Lending FCRA Federal Budget Filing Fees Financial Crimes FOFA Reforms Foreign Subsidiaries Fraudulent Transfers Fundraisers Germany Hotels Housing Finance Reform Housing Market ISDA Master Agreement Joint Venture Licensing Rules Manufacturers Minerals Morrison v National Australia Bank Non-Disclosure Agreement Non-Enforcement Nvidia OECD Offshore Companies Peer-to-Peer Regulation S Ring-Fencing Rule 14a-8 SAR SEHK Serious Fraud Office Shareholder Votes Solar Energy Supply Chain Tax Exemptions Trade Policy Wash Trades Whole Foods Administrative Appointments Aiding and Abetting Alstom Annuities Avon BlackRock Bonuses CARDS CFOs Commodity Broker Compensation & Benefits Complex Financial Products Condominiums Contractors Corporate Bonds Corporate Financing Corporate Sales Transactions Corporate Social Responsibility Covered Bonds Covered Entities CSRC Cuba DCMs Dell Department of Business Oversight Electronic Communications EMMA Exchange Offer FBAR FICC Foreign Jurisdictions Golden Parachutes Good Faith Government Shutdown HKEx Institutional Investors Insurance Companies KBR (formerly Kellogg Brown & Root) Leveraged Loans Money Services Business Mortgage Loan Servicing Standards MTFs Negligence Non-Convertible Debt Securities Non-Judicial Settlement Agreements OMWI OSHA Payment Systems Pooled Investment Vehicles Privacy Policy Qualified Institutional Buyers Registered Funds Regulatory Agencies Reinsurance Restructuring Reverse Mergers RICO RICs Rule 10(b) Rule 156 Securitization Market Sequestration Sovereign Debt Suitability Rule Supervisors Tax Deductions Tax Evasion Termination The Clayton Act Trade Repositories Transfers Trusts TSX Venture Exchange U.S. Commerce Department Unfair or Deceptive Trade Practices Voting Rights Administrative Review Board Admissions of Liability Arbitrage Automotive Industry Bank of New York Mellon Borrowers Broker Commissions BVI Business Companies Change in Control Clearing Members Code of Conduct Collateral Competition Congressional Investigations & Hearings Convictions Cooperation Initiative Corporate Management Delegation Clauses Disciplinary Proceedings Duty of Care ECON Electricity Email Employer Mandates European Securities and Markets Authority Events Extensions False Advertising FATF FBI FDCPA Federal Arbitration Act Financial Analysts Financial Companies FX Forwards G-SIB Gain Exclusion GSE Guaranteed Introducing Brokers Hostile Takeover ICE Incentive Compensation Incentive Stock Options India International Banks Investment Firms Janus Capital Group Joint Audit Committee Legal Perspectives Limited Liability Companies LLC Mail Fraud Margin Calls Material Disclosures Metals MiFIR Mortgage REITS NPRM Ontario Securities Act Oversight Committee PBGC Personal Jurisdiction Pleading Standards Pre-Merger Filing Requirements Prepaid Payment Products Privacy Laws Qualified Retirement Plans Ranieri Partners Recess Appointments Regulation Regulation Z Rescission Residual Interest RESPA Retail Market Rule 15B9-1 Saudi Stock Exchange SBA Scams SEC Commissioner Section 409A Securities Dealers Segregation Requirements Senate Banking Committee Siemens SIPA SIPC Size of Persons Test Size of Transaction Test Stock Exchange Subcontractors Subpoenas Surveys Tax-Exempt Bonds Third-Party Service Provider Tick Size TRACE UAE Unregistered Securities Ways and Means Committee Withholding Tax WKSIs 10b5-1 Plans Administrative Authority Advisory Opinions Affordable Care Act ATMs Bona Fide Hedging BRRD Business Conduct Standards Business Litigation Business Taxes Captive Insurance Company Cease and Desist Cease and Desist Orders Certifications Charles Schwab CICIs Commercial End-User Exception Convertible Bonds Corporate Criminal Fines Corporate Financing Rule Covenant of Good Faith and Fair Dealing Covered Funds Credit Reports Debt Ceiling Debt Restructuring Delays Deloitte Department of Financial Services Discovery Rule Discrimination Documentation ECOA EEOC Electronic Trading Employment Contract Entrepreneur Access to Capital Act ETMFs