Securities Finance & Banking

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Placements Rating Agencies Final Rules IRS Risk Management Class Action Conflicts of Interest Exemptions Emerging Growth Companies Publicly-Traded Companies Audits Canada Brokers Venture Capital Asset Management Investment Advisers Act of 1940 Advertising Commodities Investment Management FinCEN Recordkeeping Requirements AIFM Anti-Money Laundering Corporate Counsel Mutual Funds Sarbanes-Oxley NFA Regulation A Stocks Investment Company Act of 1940 CPO Mortgage-Backed Securities OTC Sanctions FHFA Fund Managers JPMorgan Chase MiFID II Bitcoin Prudential Regulation Authority Due Diligence Public Offerings Foreign Banks NYSE Cross-Border Financial Statements Hong Kong UCITS DOL IOSCO Libor Small Business U.S. Treasury Breach of Duty Criminal Prosecution Mary Jo White Bonds Private Equity Funds Rule 144A Securities Litigation Capital Requirements Data Protection European Banking Authority Margin Requirements Municipal Advisers Nasdaq Virtual Currency MiFID Commodities Exchange Act Money Market Funds Security-Based Swaps Commodity Pool Risk Assessment Australia Comment Period Internal Controls PCAOB New Regulations Ethics Municipal Bonds Social Media Capital Raising Collateralized Debt Obligations Financial Sector ISDA Transparency Underwriting MSRB CTA High Frequency Trading Ponzi Scheme Investment Bribery FCMs FTC Registration Requirement Regulation S-K Offerings Filing Requirements Retirement Plan Bad Actors Public Disclosure CEA Misrepresentation Oil & Gas Private Funds Proposed Amendments Appeals Asset-Backed Securities Bank Secrecy Act ETFs Marketing Safe Harbors Derivatives Clearing Organizations Regulatory Standards Corporate Officers Investment Companies Pensions SEFs Cross-Border Transactions Risk Retention Market Manipulation Whistleblower Awards Bank of America Basel Committee Capital Formation Securitization Citigroup Futures Market Participants Stress Tests Goldman Sachs Shareholder Litigation Directors Foreign Exchanges FSOC Statute of Limitations Fannie Mae ISS Civil Monetary Penalty Disclosure GAAP Loans Regulatory Agenda Whistleblower Protection Policies Arbitration Proxy Statements Disgorgement Freddie Mac Funding Portal Insurance Industry Valuation Acquisitions Financing New Guidance Private Offerings Commercial Bankruptcy Conflict Mineral Rules CPOs Deutsche Bank Fees Initial Public Offerings White Collar Crimes Clawbacks Financial Reporting Anti-Corruption DSIO Municipalities Proxy Voting Guidelines Auditors Material Misstatements Material Nonpublic Information Morgan Stanley Bank Holding Company Fixing America’s Surface Transportation Act (FAST Act) REIT Algorithmic Trading Equity Financing Municipal Securities Issuers Alternative Investment Funds Funding Moody's Penalties Proprietary Trading Basel III CCPs FIfth Third Bancorp v Dudenhoeffer Income Taxes Mergers Deadlines Motion to Dismiss Proposed Legislation Public Comment Trustees Amended Regulation Data Breach Investigations Entrepreneurs Strategic Enforcement Plan Cyber Attacks Financial Services Authority RTS Shareholder Proposals CEOs Listing Standards Money Laundering Pay-To-Play S&P 401k C-Suite Executives CMBS Credit Ratings Fitch Jurisdiction Registration Statement Retaliation Structured Financial Products Trading Platforms UBS False Statements Barclays Custody Rule Employee Benefits Financial Services Industry Hart-Scott-Rodino Act Benchmarks EB-5 ESOP New Legislation Preemption SIFMA US v Newman CME End-Users Exchange-Traded Products Hedging Interest Rates Portfolio Managers Prospectus Regulation FD Rulemaking Process SEC Examination Priorities Administrative Hearings Capital Gains Collateralized Loan Obligations Corporate Issuers FSB Illegal Tipping Liquidity Pay-for-Performance Stock Drop Litigation Data Security Employer Liability Issues FATCA OFAC Risk Alert Risk Mitigation BSA/AML Compensation Committee Corruption Investor Protection NCUA Pay Ratio EDGAR EEA Spoofing Bank of England Credit Default Swaps National Futures Association Omnicare v Laborers District Council Personal Benefit Personal Liability Supervision Young Lawyers Anti-Retaliation Provisions Dark Pool DBRS Debt Securities Dismissals Real Estate Investments Registered Investment Advisors Swap Clearing Energy Sector Legislative Agendas Municipal Securities Market Proxy Season Say-on-Pay Short Sales Small Offering Exemptions Annual Reports Deferred Prosecution Agreements FERC Lenders Rule 10b-5 Investment Portfolios Self-Reporting EBA Equity Securities European Central Bank Financial Adviser FSMA Guidance Update MCDC Omnicare Policies and Procedures Section 11 Corporate Culture Dividends Facebook Government Investigations Institutional Investors Internal Investigations Judge Rakoff Notice Requirements Shadow Banking Title III Total Shareholder Return (TSR) Trust Preferred Securities Bank of New York (BNY) Mellon Bernie Madoff Breach of Contract Canadian Securities Administration Corporate Taxes Filing Deadlines Japan Market Abuse Pharmaceutical 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Swap Data Repositories Third-Party Accounting Fraud Asset Valuations Clearing Agencies Early Stage Companies Foreign Corporations Memorandum of Understanding Merrill Lynch Securitization Vehicles SIFIs Swap Execution Facilities Countrywide FIRREA Indictments Misleading Statements Private Investment Funds Regulation Technical Standards (RTS) Serious Fraud Office Summary Judgment US Bancorp Websites Audit Committee Commodity Futures Contracts Counterparties Credit Suisse NEP Netflix Scienter SEC v Citigroup Shareholder Rights Tender Offers Extraterritoriality Rules False Claims Act (FCA) Foreign Currency Forex Industry Examinations Iran Sanctions NRSRO Resource Extraction UK Bribery Act Uncleared Swaps Waivers Yahoo! 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John Fund Information Reports Insolvency Kickstarter Luxembourg Management Fees Patriot Act Peer-to-Peer Pleading Standards Pre-Merger Filing Requirements Real Estate Development Secondary Markets Stock Trades Swap Market AML/CFT Bear Sterns Business Judgment Rule CBOE Consumer Financial Products Controlling Stockholders Corporate Financing Covered Bonds Credit Cards Emerging Technology Companies Energy Enforcement Statistics Family Offices Financial Crimes Form 8-K Forward Contracts Healthcare Institutional Investment Investment Firms New Amendments Non-GAAP Financial Measures NYDFS Qualified Small Business Stock Required Documentation Ring-Fencing Statement of Opinion Structured Finance Student Loans Subprime Mortgages Time Extensions Ukraine USCIS Visas Accounting Administrative Appointments Asia Asset Diversification Automotive Industry Business Development CFOs Cyber Crimes DCMs Depository Institutions ECON Electricity Injunctions Meals-Gifts-and Entertainment Rules Minority 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Practices BlackRock CFIUS Collateral Controlled Foreign Corporations Corporate Social Responsibility Covered Entities Covered Swap Entities (CSE) Currency Exchange Damages De Minimus Quantity Exemption Deferred Compensation Delaware General Corporation Law Digital Currency Eligible Contract Participant Employment Contract Equity Investors Evidence Fair and Effective Markets Review (FEMR) Fee-Shifting Fifth Third Mortgage Company Financial Transaction Tax Floating NAV Foreign Subsidiaries Incentive Stock Options International Banks KBR (formerly Kellogg Brown & Root) Licensing Rules Mexico Offering Documents OMWI Ontario Securities Act Permanent Injunctions Qualified Institutional Buyers Receivership Regulation SHO RESPA SAFE Senior Managers Insurers Regime (SMIR) SFO Shareholder Votes Solar Energy Tax-Exempt Bonds Tier 2 Offerings Trade Policy Trade Repositories Vendors Whole Foods XBRL Filing Requirements Admissions of Liability Alternative Investment Fund Managers Directive Annuities 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