Securities Finance & Banking

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