Securities Finance & Banking

SEC CFTC Dodd-Frank Compliance JOBS Act Swaps EU FINRA Broker-Dealer Investment Adviser Disclosure Requirements Fraud Enforcement Actions Investors Enforcement General Solicitation RMBS Banks Rule 506 Offerings Crowdfunding Reporting Requirements Swap Dealers Derivatives Regulation D Federal Reserve Securities FCPA Securities Exchange Act FDIC ESMA Volcker Rule DOJ Hedge Funds Securities Act of 1933 Private Equity Advertising AIFMD Registration CFPB Financial Regulatory Reform Settlement Accredited Investors IPO Mortgages OCC CPO Private Placements Whistleblowers No-Action Letters Insider Trading Startups Investment Funds Rule 144A Foreign Investment China Major Swap Participants Audits Fiduciary Duty EMIR SCOTUS Canada AIFM Exemptions Class Action Social Media Shareholders ERISA Securities Fraud Bad Actors Cross-Border No-Action Relief Risk Management Foreign Banks UK Commodity Pool FHFA Collateralized Debt Obligations Brokers NFA Cybersecurity Private Funds Mortgage-Backed Securities IRS Nasdaq Stocks CEA European Commission Fund Managers OCIE OTC Marketing Investment Advisers Act of 1940 JPMorgan Chase Rating Agencies Board of Directors Chief Compliance Officers Recordkeeping Requirements Mary Jo White NYSE Venture Capital Financial Services Authority Sarbanes-Oxley CTA Executive Compensation Investment Company Act of 1940 Conflict Mineral Rules New Regulations Ponzi Scheme Corporate Governance Proprietary Trading Due Diligence FTC Regulation FD Asset Management Bonds Commodities Investigations Private Equity Funds Underwriting Data Protection FCA Libor Public Disclosure Small Business FSOC Mutual Funds Proposed Regulation Citigroup Emerging Growth Companies Fannie Mae Municipal Bonds Statute of Limitations Bank of America Conflicts of Interest Fees Final Rules ISDA Municipal Advisers Popular Commodities Exchange Act FCMs Freddie Mac SEFs Banking Sector Funding Safe Harbors Anti-Money Laundering Compensation Committee Money Market Funds Listing Standards Pensions Proposed Legislation Public Offerings Hong Kong Misrepresentation Municipalities Regulation A U.S. Treasury Derivatives Clearing Organizations FinCEN Foreign Exchanges Trust Preferred Securities Financial Conduct Authority Futures Private Offerings Bitcoins Capital Markets Ethics Investment Management PCAOB Risk Assessment Securities Litigation White Collar Crimes Bribery Corporate Counsel Directors Issuers Penalties Short Sales High Frequency Trading Arbitration Virtual Currency Cross-Border Transactions Custody Rule Facebook Say-on-Pay UCITS Deadlines DOL FERC Income Taxes UBS Basel III Capital Requirements Credit Ratings Disclosure End-Users Filing Requirements Goldman Sachs IOSCO Netflix Oil & Gas Sanctions Security-Based Swaps Acquisitions Criminal Prosecution Loans NEP Transparency Anti-Corruption ETFs FIfth Third Bancorp v Dudenhoeffer Position Limits Valuation Bernie Madoff EEA Fines Morgan Stanley NCUA Qualified Mortgage Rule Trustees ESOP GAAP Hart-Scott-Rodino Act Jurisdiction Mergers MiFID Notice Requirements Money Laundering MSRB SEC v Citigroup Shareholder Litigation Australia FATCA Motion to Dismiss New Legislation Retaliation Alternative Investment Funds Deferred Prosecution Agreements Employee Benefits Form D Filing HUD Mandatory Clearing Requirements Risk Retention Stress Tests Threshhold Requirements Basel Committee Commercial Bankruptcy Corruption Interest Rates Pay-To-Play S&P Title III Disgorgement FIRREA Identity Theft Judge Rakoff Preemption Retirement Plan Whistleblower Protection Policies Bank Holding Company Capital Gains CME Deutsche Bank European Banking Authority FHA ISS Legislative Agendas Prospectus Proxy Voting Guidelines Risk Mitigation Structured Financial Products Whistleblower Awards Arbitration Agreements DSIO Economic Development Financial Reporting Financial Statements Foreign Corporations Memorandum of Understanding Resource Extraction Swap Data Repositories Asset Valuations Auditors Bank Holding Company Act CEOs Civil Monetary Penalty Countrywide EB-5 Employer Liability Issues Publicly-Traded Companies SFC Barack Obama Collateralized Loan Obligations Cyber Attacks Legal Entity Identifiers Liability PEGCC Private Investment Funds Richard Cordray Swap Clearing CCPs Class Certification Debt Financing Insurers Lehman Brothers Lenders Margin Requirements Natural Gas Neither Admit Nor Deny Settlements Portfolio Managers Proposed Amendments Real Estate Market REIT Remuneration Rule 10b-5 Securitization Vehicles SIFIs SIFMA SLUSA Stock Drop Litigation US Bancorp Affiliates Asset-Backed Securities Bank Secrecy Act Breach of Contract Breach of Duty Chevron Deference Consent Decrees Credit Default Swaps Data Breach Dismissals Disqualification Extraterritoriality Rules Finders Funding Portal Future Commission Merchants Interlocutory Appeals Licenses Moody's Reed Hastings Regulation S-K Securitization Subsidiaries Tax Reform Technology Third-Party UK Bribery Act Waivers 401k Administrative Procedure Act Energy Equity Securities Financial Adviser Internal Controls Mining Offerings Offshore Funds OSC Required Documentation Segregated Funds Student Loans Swap Execution Facilities Angel Investors Anti-Retaliation Provisions Attorney Generals Barclays Canadian Securities Administration Chapter 11 Community Banks Derivative Suit False Statements Fitch Foreclosure GAO Information Sharing Investment Companies Liquidation Market Participants NASAA NAV Payday Loans Professional Liability Prudential Regulation Authority Public Comment Repurchases Stock Options Accounting Fraud Appeals Blue Sky Laws Creditors EDGAR Eligible Contract Participant Fiscal Cliff Fraud-on-the-Market Investment Portfolios Municipal Securities Market Natural Resources NIST Nonbank Firms Proxy Advisors Rule 506(c) Russia TILA Title VII Twitter Aggregation Rules Algorithmic Trading Business Judgment Rule Conspiracies Designated Contract Market Dividends Exchange-Traded Products False Claims Act Financial Products Financial Transaction Tax Form SD Gramm-Leach-Blilely Act Hurricane Sandy International Tax Issues Iran Threat Reduction and Syria Human Rights Act Officers Red Flags Rule Sequestration Subprime Mortgages Trade Policy Visas Wall Street Affordable Care Act American Taxpayer Relief Act Bank of England Benchmarks Chadbourne & Parke LLP v Troice Confidential Information Controlling Stockholders Credit Unions Debt Collection Debt Securities Debtors Duty of Prudence FCPA Resource Guide Federal Budget Foreign Currency FX Swaps Halliburton Internal Investigations Iran Sanctions Japan Lawson v FMR Market Making Market Manipulation Merrill Lynch MF Global Middle East Minerals Municipal Securities Issuers Non-Prosecution Agreements OFAC Policy Violations Qualified Small Business Stock RBS Regulation M Scienter Secondary Markets Self-Reporting TARP Title IV Ability-to-Repay Bear Sterns Block Trades Books & Records BrokerCheck Business Development Business Development Companies Contractors Credit Cards Debt Ceiling Detroit Employee Stock Purchase Plans Equity Markets Fair Lending FFIEC Fifth Third Mortgage Company First Amendment FOFA Reforms Foreign Markets Gabelli v SEC Government Shutdown Healthcare Housing Finance Reform Housing Market Internet Investor Protection London Stock Exchange Material Nonpublic Information Minority Shareholders Misleading Statements Mortgage Loan Originators Municipal Bankruptcy Negligent Misrepresentation Ontario Securities Commission Proxy Statements SEHK Standing Swap Agreements Trade Options USCIS Admissions of Liability Africa AIG Amended Regulation Asset Diversification Banking Crisis Benefit Plan Sponsors CFIUS Class Action Arbitration Waivers Clearing Agencies Commodity Futures Contracts Corporate Officers Default Deferred Compensation Diversity Entrepreneurs Exemptive Orders FCRA Foreign Official FSB FSMA Fundraisers Golden Parachutes Hiring & Firing Independence Rules Injunctions Leveraged Loans Liquidity Fees MTFs Non-Enforcement NRSRO Pay Ratio Personal Jurisdiction Personal Liability Pharmaceutical Political Contributions Qualified Institutional Buyers Ranieri Partners Rule 156 Rulemaking Process SAC Capital SAFE Self-Regulatory Organizations Shareholder Activism Shareholder Rights Size of Persons Test Stock Trades Summary Judgment Supervisors Swap Market Tender Offers The Clayton Act Verification Requirements Wells Fargo Accounting Annual Reports Anti-Bribery Antitrust Litigation Australian Securities and Investments Commission Bonuses Chapter 9 Clawbacks Collateral Competition Consultation Contract Drafting Corporate Taxes Cybersecurity Framework Email Emerging Markets Extensions FDCPA Financial Companies Financial Crimes Financial Instruments Going-Private Transactions Guidance Update Halliburton v Erica P. John Fund Institutional Investment Internal Audit Functions IRA Lending Mortgage REITS Oversight Committee Preferred Shares Privacy Policy Recess Appointments Retirement Reverse Mergers RICs Royal Bank of Scotland Section 409A SFO Size of Transaction Test Statute of Repose Subcontractors Suitability Rule Tax Evasion Termination Tolling Trade Market Abuse Trade Repositories Training Transfers TSX Venture Exchange Venture Funding Withholding Tax 10b5-1 Plans Aiding and Abetting ASIC Attorney's Fees Bona Fide Hedging Borrowers Broker Commissions Business Conduct Standards Business Formation CFOs Chamber of Commerce CICIs CMBS Commercial End-User Exception Complex Financial Products Continuity of Enterprises Controlled Foreign Corporations Cooperation Initiative Corporate Bonds Corporate Culture Corporate Financing Corporate Financing Rule Corporate Sales Transactions Credit Reports Credit Suisse Dark Pool Delays DMO Documentation Entrepreneur Access to Capital Act Escrow Accounts Exports Family Offices Federal Arbitration Act Fiduciary Liability Filing Deadlines Financial Accounting Standards Board Financial Markets FMR LLC Foreign Jurisdictions Forfeiture Form PF Fraudulent Inducement FX Forwards Gain Exclusion Guaranteed Introducing Brokers Hedging HSBC IFRS Infrastructure Interest Rate Swaps Intermediaries International Harmonization Kickstarter Legal Perspectives Life Sciences Limited Partnerships Liquidity Coverage Ratio Mandatory Arbitration Clauses Mortgage Loan Servicing Standards National Security Negligence Net Investment Income Novation Office of Financial Research Offshore Listings Pooled Investment Vehicles Privately Held Corporations Real Estate Investments Receivership Redemption Gates Regulation Reinsurance Renewable Energy RESPA Restructuring Ring-Fencing Robocalling Sales Section 10(b) Seed Financing Segregation Requirements Sentencing SIPC Spoofing Supply Chain Tax Exemptions Tax-Exempt Bonds Unfair or Deceptive Trade Practices Unjust Enrichment Utilities Sector Wash Trades Ways and Means Committee Websites ALJ Amgen Inc. v Connecticut Retirement Plans Appraisal Automotive Industry Bailout Bilateral Investment Treaties Biotechnology CalPERS CBOE Cease and Desist Claim Preclusion Commercial Paper Complex Litigation Convictions COSO Covered Bonds Currency Exchange Customer Funds Protection Data Collection De Minimis Claims DF-Protocol Discovery Rule ECOA Electronic Communications Electronic Trading Equity Financing European Central Bank Evidence FBAR FBI Filing Fees Financial Institution Liability Foreign Affiliates Foreign Nationals Foreign Policy FRB G20 Global Economy Guarantors India Insolvency International Arbitration International Labor Laws Investment Firms iTraxx CDS indices Janus Capital Group LLC Managers Margin Calls Material Misstatements MBIA Insurance Minimum Contacts Multinationals Natural Disasters New Amendments Non-Judicial Settlement Agreements OECD Ontario Securities Act Political Appointments Pre-Merger Filing Requirements Privacy Laws Proxies QuickScore Regulation U Regulatory Standards Right of Redemption SEC Commissioner Securities Dealers Senate Banking Committee Shareholder Votes Siemens Silicon Valley Social Media Policy Solar Energy Sovereign Debt Spending Cuts State-Owned Enterprises Subpoenas Sun Capital Partners Tax Deductions Telecommunications Transfer Agents Trusts U.S. Bancorp Wal-Mart Wire Fraud Advisory Opinions Alternative Trading Systems American Airlines American Bankers Association American Pipe & Construction Co. v. Utah Amgen AngelList Annual Meeting Asia ASX Listing Rules ATMs Banging the Close Bank Fraud Ben Bernanke Big Law Bundling Rules Business Assets BVI Business Companies C&DIs C-Suite Executives Captive Insurance Company Chapter 7 Charitable Donations Clearing Agents Commercial Loans Commodity Broker Compensation & Benefits Condominiums Confirmation Proceedings Conflicts of Laws Contract Interpretation Corporate Issuers Covered Banking Entity Credit Agreements D&O Insurance Damages De Minimus Quantity Exemption Defined Benefit Plans Department of Corporations Deposit Advances Dilution Disaster Preparedness Disciplinary Proceedings Discrimination Disruptive Trading Practices Distribution Rules Duty of Care Duty to Disclose E-Commerce Economic Downturn EGCs Elder Issues Electricity Electronic Blue Sheets Eminent Domain EMMA Equity Transactions Equivalency Determinations Ernst & Young Exclusive Jurisdiction Expungement Fair Market Value False Advertising FATF Fee-Shifting Statutes Financial Holding Company Financial Stability Acts FMIC Foreign Branches of U.S. Banks Form 10-K Fraudulent Transfers Generic Great Recession GSE Hedges High Growth Segment ICE Immigrants Intergovernmental Agreements Internal Revenue Code International Finance Interpretive Letters Investment Canada Act Joint Audit Committee Junk Debt KPMG Liens Loss Causation Lying Manufacturers Mediation Metals Misappropriation Moench Presumption Moratorium Morrison v National Australia Bank MSBSPs Net Capital Rule Offshore Companies Omissions OSHA PBGC Peregrine Financial Group Personally Identifiable Information Pleadings Prepaid Payment Products Proxy Season Prudential Public Communications Purchase Agreement Push-Out Requirements Qualified Client Ratings Registered Funds Regulation S-X Regulation T Remediation Rescission Residential Capital LLC Retailers Reverse Mortgages RICO Risk Alert RQFII SBA Servicing Policies Shadow Banking SIPA Small Business Formation Split of Authority SunTrust Superannuation Supervision Surveillance Tax Credits Terrorism Funding Too Big to Fail Toronto Stock Exchange Treasury Ukraine Unions Voluntary Disclosure Wages Warranties WKSIs 16(b) Accountants Administrative Hearings Administrative Review Board Admissions Advisory Contracts Affirmative Defenses Allstate Alternative Minimum Tax American Petroleum Institute Annuities Apple Asset Class Assignments Assured Guaranty Corp. Attorney-Client Privilege Bad Faith Banking Reform Bill Bankruptcy Reform Bids Big-Boy Letters BIS BP Business Valuations Buyback Programs C-Corporation Capital Formation Carried Interest Cartels Certifications Charles Schwab CII Clean Tech Clearing Members Cloud Computing Code of Conduct Commercial Real Estate Market Commingling Competition Act Comptroller Confidentiality Agreements Congressional Budget Office Consumer Bankruptcy Consumer Protection Act Convertible Bonds Corporate Bonuses Corporate Fraud Corporate Gifts Corporate Securities Act Covenant of Good Faith and Fair Dealing Covered Entities Criminal Conspiracy Criminal Sanctions Critical Infrastructure Sectors Crowdsourcing CRQA CSRC CTFC