Securities Finance & Banking

SEC CFTC Dodd-Frank Compliance EU JOBS Act Swaps FINRA Broker-Dealer Disclosure Requirements Investment Adviser Enforcement Actions Enforcement Fraud Banks Investors General Solicitation RMBS Reporting Requirements Rule 506 Offerings Crowdfunding Derivatives Swap Dealers Securities Regulation D FCPA Federal Reserve Securities Exchange Act ESMA FDIC DOJ Securities Act of 1933 Financial Regulatory Reform Hedge Funds Settlement Advertising AIFMD Registration Volcker Rule Private Equity CFPB Accredited Investors IPO Insider Trading Mortgages CPO OCC Whistleblowers No-Action Letters Private Placements Securities Fraud Audits Startups Investment Funds Fiduciary Duty SCOTUS EMIR Foreign Investment Shareholders Rule 144A AIFM China Major Swap Participants ERISA Class Action FHFA UK Cross-Border Exemptions Canada No-Action Relief Risk Management Chief Compliance Officers Social Media Foreign Banks Brokers Commodity Pool Bad Actors Mortgage-Backed Securities Popular IRS OTC Collateralized Debt Obligations European Commission Investment Advisers Act of 1940 NFA Rating Agencies OCIE Board of Directors Cybersecurity Stocks CEA Nasdaq JPMorgan Chase Fund Managers Investment Company Act of 1940 Marketing Money Market Funds Sarbanes-Oxley Underwriting Recordkeeping Requirements Due Diligence Mary Jo White Mutual Funds NYSE Venture Capital New Regulations Banking Sector Citigroup Corporate Governance FCA Municipal Advisers Financial Services Authority Ponzi Scheme Proposed Regulation Municipal Bonds Conflict Mineral Rules CTA Executive Compensation Final Rules Private Funds Commodities Fannie Mae Bonds Conflicts of Interest Data Protection FTC Libor Municipalities Freddie Mac Investigations Proprietary Trading Statute of Limitations Public Offerings Regulation FD U.S. Treasury Anti-Money Laundering ISDA Public Disclosure Asset Management Bank of America FSOC Funding Capital Markets Commodities Exchange Act Fees Private Equity Funds Ethics FinCEN Risk Assessment Directors Emerging Growth Companies FCMs Issuers Misrepresentation Safe Harbors SEFs Deadlines Pensions Bitcoins FIfth Third Bancorp v Dudenhoeffer Futures PCAOB Compensation Committee Corporate Counsel Hong Kong Private Offerings Regulation A ESOP Listing Standards Proposed Legislation Small Business White Collar Crimes Anti-Corruption Arbitration Derivatives Clearing Organizations Financial Conduct Authority Foreign Exchanges Investment Management Bribery Trust Preferred Securities Virtual Currency Cross-Border Transactions Filing Requirements Goldman Sachs Income Taxes Sanctions Securities Litigation Security-Based Swaps UCITS Australia Basel III Credit Ratings Penalties Short Sales Custody Rule Disclosure DOL High Frequency Trading Criminal Prosecution Facebook IOSCO Transparency MiFID MSRB Say-on-Pay UBS Acquisitions Asset-Backed Securities Employee Benefits FERC Loans Oil & Gas Shareholder Litigation Valuation Bernie Madoff Capital Requirements EEA End-Users ETFs Judge Rakoff NCUA Netflix SEC v Citigroup Stress Tests Trustees Alternative Investment Funds GAAP Mergers Morgan Stanley NEP Position Limits Proxy Voting Guidelines FATCA Fines Jurisdiction Money Laundering Notice Requirements Publicly-Traded Companies Qualified Mortgage Rule European Banking Authority Hart-Scott-Rodino Act Retirement Plan Whistleblower Protection Policies Bank Secrecy Act FIRREA Internal Controls NAV New Legislation Retaliation Stock Drop Litigation Commercial Bankruptcy Corruption DSIO Mandatory Clearing Requirements MCDC Motion to Dismiss Pay-To-Play Rule 506(c) S&P US Bancorp Deferred Prosecution Agreements Deutsche Bank Form D Filing HUD ISS Municipal Securities Issuers Proxy Advisors Risk Retention Threshhold Requirements Title III Whistleblower Awards Bank Holding Company Basel Committee CME EB-5 Economic Development Interest Rates Legislative Agendas Market Participants Preemption Prospectus Structured Financial Products Auditors CEOs Civil Monetary Penalty Countrywide Disgorgement Financial Statements Identity Theft Liquidity Fees Margin Requirements Risk Mitigation Arbitration Agreements Breach of Duty Capital Gains CCPs Employer Liability Issues Extraterritoriality Rules FHA Financial Reporting Neither Admit Nor Deny Settlements SIFMA 401k Memorandum of Understanding Professional Liability Self-Reporting Swap Data Repositories Bank Holding Company Act Cyber Attacks Financing Foreign Corporations Insurers Liability Moody's NRSRO REIT Resource Extraction Securitization SFC Swap Clearing Asset Valuations Collateralized Loan Obligations Credit Default Swaps Data Breach Debt Energy Equity Securities Lehman Brothers Lenders Private Investment Funds Prudential Regulation Authority Redemption Gates Regulation S-K Remuneration Rule 10b-5 Technology Anti-Retaliation Provisions Appeals Class Certification Dismissals EDGAR Legal Entity Identifiers Liquidation Natural Gas Offerings OSC Proposed Amendments Real Estate Market Repurchases Richard Cordray Securitization Vehicles SIFIs SLUSA Third-Party Barack Obama Breach of Contract Corporate Officers Derivative Suit Disqualification Exchange-Traded Products Fitch Funding Portal Future Commission Merchants Licenses Mining Municipal Securities Market Offshore Funds Portfolio Managers Reed Hastings Rulemaking Process Russia Stock Options Subsidiaries Swap Execution Facilities UK Bribery Act Waivers Accounting Fraud Administrative Procedure Act Affiliates Attorney Generals Chevron Deference Consent Decrees False Claims Act Financial Adviser Foreclosure GAO Interlocutory Appeals Nonbank Firms OFAC Payday Loans Public Comment Regulation AB Required Documentation Segregated Funds Tax Reform Title VII Visas Angel Investors Bank of England Barclays Community Banks Dividends False Statements Finders Fraud-on-the-Market Information Sharing Internal Investigations Investment Companies NASAA Algorithmic Trading Blue Sky Laws C-Suite Executives Canadian Securities Administration Chapter 11 Clearing Agencies Conspiracies Creditors Debt Securities Duty of Prudence Eligible Contract Participant Fifth Third Mortgage Company Form SD FX Swaps Halliburton Investment Portfolios Natural Resources New Amendments Officers Regulation M Retirement Stock Trades Student Loans Subprime Mortgages TILA Twitter Verification Requirements Wall Street Aggregation Rules Amended Regulation Business Judgment Rule Designated Contract Market Financial Products Financial Transaction Tax Fiscal Cliff Gramm-Leach-Blilely Act Hurricane Sandy International Tax Issues Japan Market Manipulation Merrill Lynch Middle East Policy Violations Proxy Statements Red Flags Rule USCIS American Taxpayer Relief Act Benchmarks Books & Records BrokerCheck Chadbourne & Parke LLP v Troice Confidential Information Credit Cards Dark Pool Debt Collection Debtors Employee Stock Purchase Plans Equity Markets FCPA Resource Guide Foreign Currency Foreign Markets FSB Guidance Update Halliburton v Erica P. John Fund Iran Sanctions Iran Threat Reduction and Syria Human Rights Act Lawson v FMR Material Nonpublic Information MF Global Mortgage Loan Originators Non-Prosecution Agreements Qualified Small Business Stock RBS Scienter Secondary Markets Sequestration Shareholder Rights Statute of Repose Summary Judgment Title IV Trade Policy Ability-to-Repay ASIC Asset Diversification Banking Crisis Bear Sterns Benefit Plan Sponsors Best Management Practices Block Trades Business Development Business Development Companies CFIUS Class Action Arbitration Waivers Clawbacks Contractors Controlling Stockholders Corporate Culture Default Detroit Exemptive Orders Fair Lending FFIEC First Amendment FOFA Reforms Gabelli v SEC Injunctions Investor Protection Liquidity Coverage Ratio London Stock Exchange Market Making Minerals Minority Shareholders Misleading Statements Municipal Bankruptcy Negligent Misrepresentation Non-Enforcement Personal Liability Pharmaceutical Political Contributions SEHK Self-Regulatory Organizations Shareholder Activism Standing Swap Agreements Swap Market Tender Offers Trade Options Training Accounting Admissions of Liability Africa AIG Anti-Bribery Commodity Futures Contracts Credit Unions Deferred Compensation Diversity EMMA Entrepreneurs Escrow Accounts European Central Bank Expungement FCRA Federal Budget Fiduciary Liability Financial Institutions Financial Instruments Financial Markets Floating NAV Foreign Jurisdictions Foreign Official Form PF FSMA Fundraisers Golden Parachutes Government Shutdown Healthcare Hiring & Firing Housing Finance Reform HSBC Independence Rules Infrastructure Institutional Investment Internal Audit Functions Internet IRA Leveraged Loans Misappropriation MTFs Qualified Institutional Buyers Regulatory Standards Renewable Energy Retailers Royal Bank of Scotland Rule 156 SAFE SFO Size of Persons Test Supervisors Tax Evasion The Clayton Act Tolling Venture Funding Wal-Mart Wells Fargo Aiding and Abetting Annual Reports Antitrust Litigation Asia Attorney's Fees Australian Securities and Investments Commission Bonuses Borrowers C&DIs CBOE CFOs Chapter 9 Collateral Competition Consultation Contract Drafting Corporate Taxes COSO Debt Ceiling Electronic Communications Email Emerging Markets Extensions Family Offices FBI FDCPA Filing Deadlines Filing Fees Financial Companies Financial Crimes G20 Going-Private Transactions Housing Market Interest Rate Swaps International Harmonization Kickstarter Lending Mandatory Arbitration Clauses Morrison v National Australia Bank Mortgage REITS NIST Offshore Companies Ontario Securities Commission Oversight Committee Pay Ratio Personal Jurisdiction Preferred Shares Privacy Policy Ranieri Partners Real Estate Investments Recess Appointments Restructuring Reverse Mergers RICs SAC Capital Section 10(b) Section 409A Seed Financing SIPC Size of Transaction Test Solar Energy Strategic Enforcement Plan Subcontractors Suitability Rule Termination Trade Market Abuse Trade Repositories Transfers TSX Venture Exchange Withholding Tax 10b5-1 Plans Affordable Care Act Alternative Trading Systems Appraisal Automotive Industry Biotechnology Bona Fide Hedging Business Conduct Standards Business Formation CICIs CMBS Commercial End-User Exception Complex Financial Products Continuity of Enterprises Controlled Foreign Corporations Cooperation Initiative Corporate Bonds Corporate Financing Corporate Financing Rule Corporate Sales Transactions Covered Bonds Credit Reports Credit Suisse Delays Disruptive Trading Practices DMO Documentation Entrepreneur Access to Capital Act Equity Financing Ernst & Young FASB FBAR Federal Arbitration Act Financial Accounting Standards Board FMR LLC Foreign Nationals Forfeiture Form 10-K Fraudulent Inducement FX Forwards Gain Exclusion Global Economy Guaranteed Introducing Brokers ICE IFRS Immigrants Intermediaries Legal Perspectives Life Sciences Limited Partnerships Manufacturers Margin Calls Material Misstatements Mortgage Loan Servicing Standards Multinationals National Security Negligence Net Investment Income Non-Judicial Settlement Agreements Novation Offshore Listings Ontario Securities Act Pooled Investment Vehicles Privacy Laws Privately Held Corporations Receivership Regulation Regulation Z Reinsurance RESPA Ring-Fencing Risk Alert Robocalling Sales Segregation Requirements Shareholder Votes Siemens SIPA Spoofing SPVs Subpoenas Supply Chain TARP Tax Exemptions Tax-Exempt Bonds U.S. Bancorp Unfair or Deceptive Trade Practices Unjust Enrichment Utilities Sector Wash Trades Ways and Means Committee Websites Wire Fraud Accounting Controls Administrative Hearings ALJ American Pipe & Construction Co. v. Utah Annual Meeting ASX Listing Rules Attorney-Client Privilege Bank Fraud Broker Commissions BVI Business Companies CalPERS Cease and Desist Chamber of Commerce Claim Preclusion Commercial Paper Complex Litigation Condominiums Convictions Corporate Issuers Currency Exchange Customer Funds Protection D&O Insurance Data Collection De Minimis Claims DF-Protocol Discovery Rule Duty of Care ECOA Electronic Trading Evidence Exclusive Jurisdiction Exports FATF FFI Final Guidance Financial Institution Liability FOMC Foreign Affiliates Foreign Policy FRB GSE Guarantors Hedging India Insolvency Intergovernmental Agreements International Labor Laws Investment Firms iTraxx CDS indices Janus Capital Group KPMG LLC Lying Managers MBIA Insurance Moench Presumption Natural Disasters OECD Office of Financial Research PBGC Pre-Merger Filing Requirements Proxies Proxy Solicitations Public Communications Purchase Agreement QuickScore Regulation S-X Regulation U Rescission Right of Redemption Rule G-42 SEC Commissioner Senate Banking Committee Sentencing Shadow Banking Silicon Valley Social Media Policy Sovereign Debt State-Owned Enterprises Supervision Tax Deductions Telecommunications Third-Party Risk Too Big to Fail Transfer Agents Trusts Ukraine Advisory Opinions American Airlines American Bankers Association Amgen Inc. v Connecticut Retirement Plans AngelList Annuities Apple ATMs Bailout Banging the Close Bankruptcy Code Ben Bernanke Beneficial Owner Big Law BIS Bundling Rules Business Assets Captive Insurance Company Cartels Chapter 7 Charitable Donations Clean Tech Clearing Agents Code of Conduct Commercial Loans Commercial Real Estate Market Commodity Broker Confidentiality Agreements Confirmation Proceedings Conflicts of Laws Contract Interpretation Covered Banking Entity Credit Agreements Cybersecurity Framework Damages De Minimus Quantity Exemption Defined Benefit Plans Department of Corporations Deposit Advances Dilution Disaster Preparedness Disciplinary Proceedings Discrimination Distribution Rules Duty to Disclose E-Commerce EGCs Elder Issues Electricity Electronic Blue Sheets Eligibility Equity Compensation Equity Transactions Equivalency Determinations False Advertising Farm Credit Administration FEC Fee-Shifting Statutes Feeder Funds FMIC Foreign Branches of U.S. Banks Form ADV Forum Forum Selection Clause Fraudulent Transfers Generic Government Investigations Great Recession Hedges High Growth Segment Hong Kong Stock Exchange Hostile Takeover Hotels IndyMac Internal Revenue Code International Arbitration International Finance Interpretive Letters Investment Canada Act Investment Fraud Joint Audit Committee Joint Venture Junk Debt Latin America Leases Legislative Committees Licensing Rules Liens Listing Rules Loss Causation Mediation Metals Minimum Contacts MMF Mobile Apps Money Transfer Moratorium Motion to Compel MSBSPs Negotiations Net Capital Rule OCR Omissions Omnicare OSHA Over-the-Counter Sales Partnerships Peregrine Financial Group Personally Identifiable Information Pleadings Political Appointments Prepaid Payment Products Proxy Season Prudential Push-Out Requirements Putative Class Actions Qualified Client Raj Rajaratnam Ratings Registered Funds Regulation T Remediation Residential Capital LLC Reverse Mortgages RICO RQFII SBA Scams Securities Dealers Servicing Policies Spending Cuts Split of Authority State and Local Government Stock Repurchases Sun Capital Partners SunTrust Superannuation Surveillance Tax Credits Terrorism Funding Testimonial Statements Third-Party Service Provider Toronto Stock Exchange Transaction Fees Treasury Unions Wages Warranties Wash Sale Rules Wells Notice WKSIs 16(b) Accountants