Securities Finance & Banking

SEC CFTC Dodd-Frank Compliance EU Swaps FINRA JOBS Act Enforcement Actions Broker-Dealer Investment Adviser Disclosure Requirements Enforcement Banks Fraud Securities RMBS Reporting Requirements Investors Derivatives General Solicitation Federal Reserve Securities Exchange Act ESMA Crowdfunding FCPA Swap Dealers Rule 506 Offerings Regulation D FDIC Insider Trading Securities Fraud DOJ Hedge Funds Registration Financial Regulatory Reform Securities Act of 1933 Settlement AIFMD Whistleblowers IPO OCC Volcker Rule Private Equity Accredited Investors Advertising CFPB No-Action Letters Shareholders UK Mortgages Popular EMIR No-Action Relief CPO SCOTUS Startups Audits Investment Funds Chief Compliance Officers Foreign Investment Fiduciary Duty Private Placements Major Swap Participants China ERISA AIFM Class Action Rule 144A Mortgage-Backed Securities Cross-Border FHFA Foreign Banks European Commission Brokers OCIE Risk Management Investment Advisers Act of 1940 Banking Sector Cybersecurity Exemptions Social Media Stocks Commodity Pool Board of Directors IRS NFA OTC Corporate Governance Rating Agencies Bad Actors JPMorgan Chase Investment Company Act of 1940 Collateralized Debt Obligations Proposed Regulation Nasdaq Recordkeeping Requirements Fund Managers Sarbanes-Oxley Municipal Advisers Due Diligence Money Market Funds NYSE CEA Executive Compensation Final Rules Marketing New Regulations Canada Commodities FCA Asset-Backed Securities CTA Mary Jo White Municipal Bonds Ponzi Scheme Ethics Mutual Funds Venture Capital Underwriting Citigroup FCMs Hong Kong Commodities Exchange Act Financial Conduct Authority FinCEN Municipalities Private Equity Funds Fannie Mae ISDA Libor Public Offerings Small Business U.S. Treasury Anti-Money Laundering Bonds Conflict Mineral Rules Conflicts of Interest Issuers Private Funds Asset Management Bank of America Bitcoins Financial Services Authority Freddie Mac Risk Assessment Virtual Currency Corporate Counsel Data Protection Investigations SEFs Directors Funding MiFID PCAOB Prudential Regulation Authority Public Disclosure Securities Litigation Statute of Limitations Criminal Prosecution FSOC Risk Retention Emerging Growth Companies MSRB Sanctions FTC Futures IOSCO Proprietary Trading Regulation FD Deadlines Fees Foreign Exchanges High Frequency Trading Pensions Private Offerings Arbitration Safe Harbors Capital Markets ISS Misrepresentation Publicly-Traded Companies Australia White Collar Crimes Derivatives Clearing Organizations DSIO ETFs FIfth Third Bancorp v Dudenhoeffer Investment Management Regulation A Bribery Custody Rule Security-Based Swaps Transparency Whistleblower Awards Cross-Border Transactions ESOP Anti-Corruption Filing Requirements Listing Standards Margin Requirements Basel III Compensation Committee Goldman Sachs Income Taxes European Banking Authority Oil & Gas Proxy Voting Guidelines UBS UCITS Valuation Acquisitions Capital Requirements Credit Ratings Disclosure Internal Controls Trustees Whistleblower Protection Policies Appeals Shareholder Litigation Short Sales Stress Tests Trust Preferred Securities Basel Committee Breach of Duty Penalties Proposed Legislation Alternative Investment Funds Bank Holding Company Bank Secrecy Act DOL Employee Benefits Employer Liability Issues Market Participants Material Nonpublic Information CPOs Facebook Financial Statements Loans Rulemaking Process EEA End-Users GAAP Judge Rakoff Mergers Pay-To-Play Say-on-Pay Strategic Enforcement Plan Bernie Madoff FERC Legislative Agendas Morgan Stanley NCUA Portfolio Managers Auditors C-Suite Executives HUD Rule 506(c) S&P SIFMA Qualified Mortgage Rule Retaliation Retirement Plan CME Deutsche Bank Financial Markets Netflix Proposed Amendments Rule 10b-5 Stock Drop Litigation Structured Financial Products Collateralized Loan Obligations Disgorgement FATCA Fines Jurisdiction Moody's Municipal Securities Issuers NEP Notice Requirements Position Limits Proxy Advisors SEC v Citigroup Corruption False Statements Financial Institutions Money Laundering NAV New Legislation Civil Monetary Penalty Commercial Bankruptcy Corporate Officers Economic Development Financing FIRREA Fitch Interest Rates Market Manipulation US Bancorp Exchange-Traded Products Form D Filing Hart-Scott-Rodino Act MCDC Motion to Dismiss Professional Liability 401k CEOs Deferred Prosecution Agreements Financial Reporting Illegal Tipping Liquidity Fees Mandatory Clearing Requirements Preemption Regulatory Standards Title III Capital Gains CCPs EB-5 Extraterritoriality Rules Prospectus Risk Mitigation US v Newman Annual Reports Arbitration Agreements Class Certification Credit Default Swaps Dismissals OFAC Regulation S-K SFC Subsidiaries Threshhold Requirements Administrative Hearings Amended Regulation Countrywide Insurers Neither Admit Nor Deny Settlements Offerings Securitization Swap Clearing Bank Holding Company Act Equity Securities FHA Foreign Corporations Identity Theft Public Comment Redemption Gates Repurchases Self-Reporting Swap Data Repositories Affiliates Cyber Attacks EDGAR Energy Equity Financing HSBC Memorandum of Understanding NRSRO Remuneration Resource Extraction Russia Technology Third-Party Anti-Retaliation Provisions Data Breach Lehman Brothers Merrill Lynch Regulation AB REIT SIFIs ABS Asset Valuations Barclays Breach of Contract Debt Derivative Suit Guidance Update Internal Investigations Liability Liquidation Municipal Securities Market NASAA Nonbank Firms Personal Liability Proxy Season Stock Options Waivers Attorney Generals Barack Obama Chevron Deference Financial Adviser Infrastructure Legal Entity Identifiers Lenders Licenses Natural Gas Personal Benefit Private Investment Funds Proxy Statements Real Estate Market Richard Cordray Securitization Vehicles Segregated Funds SLUSA Swap Execution Facilities Tax Reform Title VII UK Bribery Act Algorithmic Trading Angel Investors Clearing Agencies Disqualification Employee Stock Purchase Plans Equity Compensation False Claims Act Family Offices Foreclosure Fraud-on-the-Market Future Commission Merchants Halliburton Institutional Investment Liquidity Coverage Ratio Misappropriation Offshore Funds Payday Loans Real Estate Investments Regulatory Agenda Shareholder Rights TILA Wells Fargo Accounting Fraud Administrative Procedure Act ASIC Block Trades Blue Sky Laws Business Judgment Rule CMBS Community Banks Consent Decrees Debt Securities Equity Markets FFIEC FSB Funding Portal GAO Interlocutory Appeals Investment Companies Japan Mining NASD Officers Pending Legislation Reed Hastings Required Documentation Shareholder Activism Subprime Mortgages Summary Judgment Swap Market Visas Bank of England Benefit Plan Sponsors Business Development Companies Commodity Futures Contracts Corporate Culture Corporate Taxes Dark Pool DBRS Dividends Entrepreneurs Finders Foreign Currency Form SD Information Sharing Market Making Natural Resources New Amendments Regulation M Regulation SCI Scienter Shareholder Proposals Small Offering Exemptions Statute of Repose Stock Trades Twitter Wall Street Websites Bitcoin Books & Records Canadian Securities Administration Chapter 11 Clawbacks Conspiracies Controlling Stockholders Creditors Duty of Prudence Eligible Contract Participant Exemptive Relief Fifth Third Mortgage Company Filing Deadlines Financial Products FX Swaps Halliburton v Erica P. John Fund Independence Rules International Harmonization International Tax Issues Internet Investment Portfolios Middle East Minority Shareholders Mortgage Loan Originators Omnicare OSC Political Contributions Retailers Retirement Risk Alert Student Loans Tender Offers Verification Requirements Accounting Aggregation Rules Banking Crisis Bear Sterns Benchmarks Biotechnology Confidential Information Corporate Issuers Credit Suisse Designated Contract Market Detroit Diversity European Central Bank Financial Transaction Tax Fiscal Cliff Fixed Income Investments Floating NAV Foreign Official Form 10-K G20 Gramm-Leach-Blilely Act Hong Kong Stock Exchange Hurricane Sandy London Stock Exchange Misleading Statements Non-Prosecution Agreements Pharmaceutical Policy Violations Qualified Small Business Stock Renewable Energy Section 10(b) Self-Regulatory Organizations Shadow Banking Spoofing Standing Title IV USCIS Accounting Controls American Taxpayer Relief Act Asia BrokerCheck Bylaws CFIUS Chadbourne & Parke LLP v Troice Credit Cards Debt Collection Debtors Deferred Compensation Disruptive Trading Practices Escrow Accounts Exemptive Orders FCPA Resource Guide First Amendment Foreign Markets Foreign Nationals Form PF FSMA Glass Lewis Indictments Industry Examinations Injunctions Internal Audit Functions Investor Protection IRA Iran Sanctions Iran Threat Reduction and Syria Human Rights Act Kickstarter Lawson v FMR MF Global Multinationals Negligent Misrepresentation Push-Out Requirements RBS Red Flags Rule Royal Bank of Scotland Secondary Markets SFO Supervision Trade Options Training Transfer Agents Utilities Sector Wal-Mart Ability-to-Repay Africa AIG Alternative Trading Systems Asset Diversification Best Management Practices Business Development Capital Formation CBOE Chapter 9 Class Action Arbitration Waivers Contract Drafting Contractors Credit Unions Default Expungement Fair Lending FASB Federal Budget Filing Fees Financial Instruments FOFA Reforms Gabelli v SEC Global Economy Healthcare Hiring & Firing Hotels Housing Finance Reform Interest Rate Swaps Legislative Committees Lending Minerals Morrison v National Australia Bank Municipal Bankruptcy Non-Enforcement Preferred Shares Prudential Standards Regulation S-X REITS SAFE SEHK Sequestration Swap Agreements Tolling Trade Policy Ukraine Venture Funding Wash Trades Aiding and Abetting Alternative Mutual Funds Anti-Bribery Antitrust Litigation Appraisal Background Checks C&DIs Condominiums COSO Covered Entities DMO Emerging Markets EMMA Equity Plans Evidence FCRA Fiduciary Liability Financial Crimes Foreign Jurisdictions Forward Contracts Fundraisers Going-Private Transactions Golden Parachutes Government Investigations Government Shutdown IFRS Leveraged Loans Loss Causation Mortgage Loan Servicing Standards MTFs Negligence NIST Non-Judicial Settlement Agreements Nvidia OECD Pay Ratio Qualified Institutional Buyers Real Estate Development Rule 156 Sec Examination Priorities Seed Financing Solar Energy Supervisors Tax Evasion The Clayton Act Third-Party Risk Trade Market Abuse Transfers Trusts TSX Venture Exchange US Bank Wire Fraud Accountants Admissions of Liability ALJ Annual Meeting Attorney's Fees Australian Securities and Investments Commission Avon Bankruptcy Code BIS BitLicense Bonuses Borrowers Broken Windows Collateral Compensation & Benefits Competition Confidentiality Agreements Convictions Cooperation Initiative D&O Insurance Debt Ceiling Delegation Clauses Dell Duty of Care Electronic Communications Email Ernst & Young Extensions FBAR FDCPA Federal Arbitration Act Financial Companies Foreign Affiliates G-SIB Gain Exclusion Guaranteed Introducing Brokers Housing Market Incentive Stock Options India Information Reports Insolvency Life Sciences Limited Partnerships Mandatory Arbitration Clauses Manufacturers Margin Calls Material Misstatements Mortgage REITS National Futures Association Offshore Companies Oversight Committee PBGC Personal Jurisdiction Price Manipulation Privacy Policy Putative Class Actions Ranieri Partners Recess Appointments Regulation Z RESPA Restructuring Reverse Mergers RICs Ring-Fencing Section 409A Segregation Requirements Siemens Size of Persons Test Size of Transaction Test Sovereign Debt Stock Repurchases Subcontractors Subpoenas Suitability Rule Supply Chain Tax-Exempt Bonds Termination Time Extensions Trade Repositories 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 Beneficial Owner Bona Fide Hedging Business Conduct Standards Business Formation BVI Business Companies CalPERS Cease and Desist CFOs 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 Discrimination Documentation ECOA Electricity Energy Sector Entrepreneur Access to Capital Act ETMFs False Advertising FBI Federal Rules of Civil Procedure Financial Accounting Standards Board FMR LLC Forfeiture Form ADV Fraudulent Inducement Fundersclub.com FX Forwards GSE ICE Immigrants Intermediaries Investment Banks IRC ISDA Master Agreement Joint and Several Liability Joint Audit Committee Joint Venture Legal Perspectives Licensing Rules LiquidAlts Metals Misallocation of Funds Net Investment Income New Guidance Non-Disclosure Agreement Novation Offshore Listings Ontario Securities Act Ontario Securities Commission Peer-to-Peer Pleading Standards Pooled Investment Vehicles Privacy Laws Privately Held Corporations Proxy Access Rule QuickScore Receivership Regulation Reinsurance Representations and Warranties Robocalling SAC Capital Section 716 Senate Banking Committee Shareholder Votes SIPA SIPC Social Media Policy Social Networks SPVs State and Local Government TARP Tax Exemptions TRACE Transaction Fees U.S. Bancorp Unjust Enrichment Unregistered Securities Year-End Planning Administrative Appointments Advisory Opinions Alstom American Pipe & Construction Co. v. Utah ASX Listing Rules Banging the Close Bank Fraud Broker Commissions Business Valuations CARDS Certifications Chamber of Commerce Claim Preclusion Clean Tech Commercial Paper Commodity Broker Corporate Gifts Corporate Social Responsibility Customer Funds Protection Cybersecurity Framework Damages DCMs De Minimis Claims DF-Protocol Dilution Disciplinary Proceedings Discovery Rule Distribution Rules Duty to Disclose Electronic Trading Emerging Technology Companies Enforcement Statistics Equivalency Determinations Exclusive Jurisdiction Falsified Documents FATF Fee-Shifting Statutes FFI Final Guidance Financial Accounting Financial Institution Liability Flood Insurance FOMC Foreign Policy Form 8-K Forum Selection Clause FRB GlaxoSmithKline Guarantors Hedges Hedging Hostile Takeover Incentive Compensation Independent Boards Intergovernmental Agreements International Arbitration International Banks International Labor Laws Investment Firms iTraxx CDS indices Janus Capital Group Job Creation KPMG Latin America Liens Life Insurance Listing Rules LLC Lying Managers Materiality MBIA Insurance Mobile Apps Moench Presumption MOFCOM Money Services Business Money Transfer Mortgage Servicers National Security Natural Disasters OCR Office of Financial Research Omnicare v Laborers District Council Partnerships Peregrine Financial Group Political Appointments Pre-Merger Filing Requirements Prejudgment Interest Prepaid Payment Products Professional Conferences Proxies Public Communications Purchase Agreement Qualified Retirement Plans Reasonableness Factors Regulation U Rescission RICO Rule 10(b) Rule G-42 Sales SBA Scams SEC Commissioner Section 11 Sentencing Silicon Valley State Taxes Surveys Tax Deductions Tax Refunds Telecommunications Third-Party Relationships