Securities Finance & Banking Consumer Protection

SEC CFPB Dodd-Frank CFTC FINRA Broker-Dealer Banks Federal Reserve Enforcement Actions Cybersecurity FDIC EU Investment Adviser Financial Institutions Compliance OCC Mortgages Data Protection Derivatives Banking Sector OCIE Disclosure Requirements Financial Regulatory Reform Swaps Data Breach European Securities and Markets Authority (ESMA) UK Data Security Cyber Attacks RMBS Enforcement Popular Civil Monetary Penalty Data Privacy Personally Identifiable Information Proposed Regulation Financial Conduct Authority (FCA) FSOC Qualified Mortgage Rule Truth in Lending Act (TILA) Whistleblowers European Banking Authority FHFA Fraud FTC Payday Loans Prudential Regulation Authority Regulation S-P Risk Management Volcker Rule Diversity DOJ Policies and Procedures Rating Agencies Reporting Requirements Risk Alert Security Risk Assessments Swap Dealers Virtual Currency Bitcoin Cyber Incident Reporting Financial Markets Financial Sector Foreign Banks Registered Investment Advisors Securities Settlement Brokers Comment Period Cyber Threats Debt Collection European Commission Fiduciary Duty Hackers Investors JPMorgan Chase Risk Assessment Securities Exchange Act SIFIs Arbitration Conflicts of Interest Corporate Governance DOL Executive Compensation FinCEN Identity Theft Loans Preemption Proposed Legislation SEC Examination Priorities Australia Automotive Loans Capital Markets Class Action Commodities CPO Crowdfunding Fair Housing Act (FHA) FCMs Investor Protection JOBS Act Major Swap Participants Margin Requirements Richard Cordray Risk Retention Small Business Stress Tests Vendors Anti-Money Laundering Capital Requirements Cease and Desist Orders Consumer Financial Products Credit Cards EMIR Financial Services Industry Investment Funds Legislative Agendas No-Action Relief Prepaid Payment Products RESPA Sanctions Securities Fraud Security-Based Swaps SEFs Shadow Banking Student Loans Training Accredited Investors Consumer Lenders Credit Ratings Cross-Border Transactions Customer Funds Protection Data Loss Prevention Derivatives Clearing Organizations Exemptions FCRA Final Rules Freddie Mac Investment Companies Investment Company Act of 1940 IRS Mandatory Arbitration Clauses MiFID II Money Market Funds Mortgage-Backed Securities No-Action Letters OMWI Proposed Amendments Prudential Standards Recordkeeping Requirements Regulation Z Securitization TILA-RESPA Integrated Disclosure Rule (TRID) Whistleblower Protection Policies Ability-to-Repay AIFMD Amended Regulation Asset-Backed Securities Bank of America Basel Committee Basel III Commodity Pool Conflict Mineral Rules Corporate Counsel Data Breach Plans Deutsche Bank Due Diligence Encryption Fannie Mae FDCPA FFIEC FinTech Futures Gramm-Leach-Blilely Act HMDA HUD Investment Advisers Act of 1940 Investment Management MiFID Mutual Funds Neither Admit Nor Deny Settlements NFA NYDFS Regulation A Regulation D Safe Harbors SCOTUS Threshold Requirements Transparency U.S. Treasury UDAAP ABS Annual Reports Arbitration Agreements Bank of England Board of Directors CFPA Chief Compliance Officers Community Banks Credit Reports Custody Rule Deposit Insurance Dispute Resolution Employer Mandates Fixing America’s Surface Transportation Act (FAST Act) FOMC Government Shutdown Guidance Update Hedge Funds High Frequency Trading Hiring & Firing IOSCO Joint Policy Statements Market Manipulation Mary Jo White Money Transfer MSRB NCUA New Regulations Online Marketplace Lending Penalties Private Equity Funds Publicly-Traded Companies Red Flags Rule Registration Regulatory Agencies Regulatory Standards Stocks Third-Party Advertising Affordable Care Act Alternative Mutual Funds ASIC Asset Management Bank Holding Company Bank Secrecy Act Banking Regulators Capital Formation Cease and Desist Choke Point Citigroup Class Action Arbitration Waivers CME Commercial Bankruptcy Commodities Exchange Act Comptroller Confidentiality Agreements Consumer Protection Act Cross-Border Cuba Customer Protection Rule Cyber Crimes Cyber Insurance Debt Ceiling Deposit Advances DSIO EDGAR EEA Elder Abuse Elder Issues ERISA Examination Priorities Excessive Fees Fair Lending FATCA Federal Budget Financial Adviser Financial Products Financial Services Authority Financial Services Committee Foreclosure Free Identity Theft Protection FSB Funding Portal FX Swaps GAAP Goldman Sachs Incentive Compensation Incident Response Plans Industry Examinations Information Systems Security Program (ISSP) Infrastructure Internal Controls Legislative Committees Lehman Brothers Lenders Libor Liquidity Coverage Ratio Madden v Midland Funding Mortgage Lenders Mortgage Servicers Municipal Bonds NASD National Futures Association New Guidance New Legislation NIST Non-Bank Lenders Nonbank Firms NYSE Pay Ratio Payment Systems Personal Data Personal Liability Privacy Notice Rule Private Equity Private Funds Public Disclosure Recess Appointments Recruitment Policies Regulation M Regulation SCI Regulatory Agenda Remittance Transfer Rule Risk Mitigation RTS Say-on-Pay Securities Act of 1933 Segregated Funds Self-Reporting Sequestration SLUSA Surveys Swap Execution Facilities Tax Reform Third-Party Service Provider Unauthorized Access Administrative Hearings Administrative Procedure Act Algorithmic Trading ALJ Alternative Trading Systems AML-CTF Analytics Annuities Anti-Retaliation Provisions Appeals Appointments Clause Bank Holding Company Act Banking Crisis Bankruptcy Code Barack Obama Barclays Best Practices Blue Sky Laws BrokerCheck BRRD Business Continuity Plans C-Suite Executives Cartels CCPs Chapter 11 Chapter 9 China Civil Investigation Demand Collateralized Loan Obligations Commercial Real Estate Market Consent Order Constitutional Challenges Consumer Financial Contracts Continuing Resolution Corporate Officers Countrywide Credit Default Swaps Credit Monitoring Credit Rating Agencies Credit Suisse Creditors Criminal Prosecution Critical Infrastructure Sectors Cryptocurrency CSBS Cuban Assets Control Regulations (CACR) Dark Pool Data Collection Department of Financial Services Distressed Debt Distributed Denial of Service EAR Economic Development EEOC Enforcement Authority Enforcement Statistics Equity Markets ETFs European Central Bank Exchange-Traded Products Exploitation FASB FCC FCPA Federal Contractors Federal Register FERC Filing Requirements FIRREA First Amendment Flood Insurance For Profit Colleges Foreign Nationals Form SD Fraud Alerts FRB Fund Managers Future Commission Merchants G-SIB GAO Harry Reid Hart-Scott-Rodino Act Hedging Hurricane Sandy Individual Accountability Information Governance Information Security Insider Trading Insurance Industry Interest Rate Adjustments Interest Rates Intermediaries Iran Sanctions Job Creation Leases Leverage Ratio Leveraged Loans Liquidity Risk Management Rule Living Will Make-Whole Premium Market Participants Mergers Merrill Lynch MetLife MiFIR Mobile Apps Money Laundering Moody's Morgan Stanley Mortgage Loan Originators Mortgage Loan Servicing Standards Municipal Advisers Municipal Bankruptcy Municipal Securities Market NASAA Nasdaq National Bank Act Negligence Nominations Non-GAAP Financial Measures NRSRO OFAC Offerings OTC Pay-To-Play Payment Processors Payroll Cards Peer-to-Peer Ponzi Scheme Private Placements Private Student Loans PSLRA Public Comment Puerto Rico Quantitative Easing Real Estate Market Recovery Plans Registered Investment Companies (RICs) Registration Requirement Regulation AB II Regulatory Oversight Retail Investors Retail Market Retirement Plan Reverse Mortgages Ring-Fencing Safeguards Rule Securities Litigation Self-Regulatory Organizations Senior Managers Servicing Policies Shareholders Short Selling SIFMA SIPA Small Entity Compliance Guide Smaller Reporting Companies Social Media Spending Cuts Standing TCPA Third-Party Risk Tibble v Edison Int Trade Market Abuse U.S. Commerce Department UCITS Unemployment Unfair or Deceptive Trade Practices Unions Usury Valuation Websites Whistleblower Awards Yahoo! Accreditation ACH Payments Acquisitions Add-ons Administrative Appointments Affiliates Affirmative Action Aggregation Rules Agribusiness AICPA Aiding and Abetting AIF AIFM AIG Alternative Fee Arrangements Anti-Corruption Antitrust Investigations Antitrust Violations Appraisal AQM Article II Article III Asset Valuations ATMs Attorney's Fees Audits Australian Securities and Investments Commission Auto Insurance Automotive Industry Background Checks Bad Actors Bad Faith Bailout Bank Accounts Bank Fraud Bank of New York (BNY) Mellon Banking Reform Bayer BE-180 Belgium Ben Bernanke Benchmarks Beneficial Owner Best Interest Contract Exemptions BitLicense BlackRock Breach Notification Rule Breach of Contract Breach of Duty Broken Windows BSA/AML Business Conduct Standards CalPERS Cancellation Rights Canning v NLRB Capital Estimation Tool Capital Investments Capital Raising Capital Rules CARD Act Catholic Church CDS CEA CFCs Chadbourne & Parke LLP v Troice Chamber of Commerce Chapter 15 Charles Schwab Checking Accounts Chief Risk Officers (CRO) CISO CISPA Citibank Civil Penalty Fund Clawbacks Climate Change Coal Industry Collateralized Debt Obligations Collective Bargaining Commercial Leases Commercial Loans Commercial Mortgage Securitization Commodity Futures Contracts Compensation & Benefits Compensation Agreements Compensation Committee Competition Competition Authorities Complaint Procedures Complex Litigation Confidential Information Confidential Supervisory Information Confirmation Proceedings Conservators Conspiracies Consultation Periods Consumer Bankruptcy Consumer Price Index Consumer Reporting Agencies Consumer Service Agreements Content Aggregators Contract Terms Cooperation Copyright Corporate Executives Corporate Fines Corporate Liability Corruption Covered Banking Entity Covered Entities Covered Funds Credit Agreements Credit Card Agreements Credit Reporting Agencies Credit Unions CRQA CSDR CTA Customer Identification Program (CIP) Customer Service Standard Cybersecurity Examination Initiative Cybertheft D&O Insurance Data Security Act DBRS De-Risking Debit Cards Debt Debt Buyers Debt Collectors Debt Market Debt Relief Debt Restructuring Debt Securities Debtors Declaratory Relief Delays Department of Business Oversight Deposit Accounts Depository Institutions Derivative Suit Detroit DF-Protocol Digital Advertising Alliance Digital Services Directors Disabled Disaster Preparedness Disclosure Discounts Discovery Discriminatory Lending Practices Disqualification Disruptive Trading Practices Diversity and Inclusion Standards (D&I) DMO Draft Guidance Durbin Amendment Rules Duty of Care Duty of Loyalty Duty to Disclose E*Trade E-Filing EB-5 EBA eBay ECOA ECON Economic and Financial Affairs Council (ECOFIN) Economic Sanctions Educational Communications Rule EFTs Electricity Electronic Communications Elizabeth Warren Embargo Employee Training Employment Contract Employment Policies Endangered Species Act (ESA) Energy Enforcement Attorneys Equitable Estoppel Equity Financing Equity Investors Escrow Accounts Ethics EU Data Protection Laws EU Directive EU Market Abuse Regulation (EU MAR) EU-US Privacy Shield European Union Delegated Act (EUDA) Experian Expungement Extensions Extortion Extraterritoriality Rules Facebook False Claims Act (FCA) Falsified Documents Family Offices Farm Credit Administration Farms FATF FBOs Federal Arbitration Act Federal Aviation Administration (FAA) Federal Bank Regulatory Agencies Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Election Commission (FEC) Federal Housing Administration (FHA) Federal Savings Associations Fee Agreements Fees FICC Fifth Amendment Final Guidance Financial Contracts Financial Crimes Financial Crisis Financial Holding Company Financial Reporting Financial Stability Acts Financial Statements Financial Transaction Tax Fines First National Fitch Fixed Income Investments Flash Boys FLSA Force-Placed Insurance Foreign Currency Foreign Direct Investment Foreign Exchanges Foreign Investment Forex Form 10-K Form ADV Form S-1 FPC Fraudulent Concealment FSMA FTC v Wyndham Fund Expenses Fund of Funds G20 Garnishment General Solicitation Gifts Glass-Steagall Act GLBA Privacy Global Systemically Important Financial Institutions (GSIFI) GMRA Golden Leash Arrangements Google Governance Standards Government Investigations Government-Backed Loans Great Recession GSE HAMP Health Care Providers Healthcare HERA HM Treasury HOEPA Home Buyer Home Depot Hong Kong Hotlines Housing Finance Reform HSBC ICE IFRS Illegal Gratuities Incentive Stock Options Independent Community Bankers of America (ICBA) Indictments Inflation Adjustments Information Reports Information Statements Information Technology Injury-in-Fact Innovation Interim Rule Internal Investigations Internal Revenue Code (IRC) International Banks International Data Transfers International Harmonization International Tax Issues Internet Interpretive Rule Investigations Investment Firms Investment Trust Companies IP License IPO IRA ISDA Jamie Dimon Judge Rakoff Jumpstart GSE Reform Act Junk Bonds Jurisdiction Kamala Harris Kodak Law Enforcement Lead Generators Legal Entity Identifiers Lending Lending Club Letters of Intent Liability Insurance Licensing Fees Life Insurance Liquidation Loan Market Association Loan Modifications Loan Transfers Lobbyists Loss Coverage Loss Mitigation Majority-Owned Affiliate (MOA) Mandatory Clearing Requirements Mandatory Disclosure Rules Market Abuse Market Access Rule Market Conditions Marketing Martin Shkreli Material Disclosures Material Misstatements MCDC Meals-Gifts-and Entertainment Rules Mediation Middle East Military Lending Act Military Service Members Minimum Salary Minority-Owned Businesses Misappropriation Misleading Statements Misrepresentation MLO Licenses Mobile Devices Mobile Payments Money Services Business Monsanto Mortgage Brokers Mortgage Escrow Account Mortgage Servicing Rules Municipalities Natural Disasters Natural Gas NEP NERA Netherlands Nike NLRB No-Action Requests Non-Cash Compensation North Korea Notice Requirements Novation NPR NPRM NSA OCR Office of Fair Trading Oil & Gas OMB Online Gaming Operation Choke Point Overdraft Fees Overpayment Passporting Pay-for-Performance PayPal PBGC Penn State Pensions Peregrine Financial Group Permanent Injunctions Petition for Writ of Certiorari PFIC Pharmaceutical Industry Pleadings Policy Statement Political Appointments Political Scandals Position Limits Presidential Veto Press Releases Price Manipulation Privacy Concerns Privacy Laws Privacy Policy Private Investment Funds Private Letter Rulings Private Offerings Procurement Guidelines Professional Conferences Professional Misconduct Profits Property Insurance Proposed Rules Proposed Standards Proprietary Trading Proximate Cause Proxy Access Rule Proxy Statements Proxy Voting Guidelines Public Offerings Push-Out Requirements QRM Standard Qualified Purchaser Quicken Loans Recklessness Reconciliation Redlining Regulation Regulation AA Regulation C Regulation E Regulation S-K Regulation X REIT Religious Institutions Remuneration Reorganizations Repeal Representations and Warranties Request For Information Required Documentation ResCap Rescission Residual Interest Restitution Retailers Retirement Reverse Mergers Right to Be Forgotten Risk of Loss Risk-Based Approaches Robocalling Rule 105 Rule 21F Rule 506 Rule 506 Offerings Rule 506(d) Rulemaking Process Sales Commissions Savings Accounts Savings and Loan Companies Scams Scienter Scottrade SEC v Citigroup Section 15(c) Section 16 Securities Exchanges Securities Violations Securitization Vehicles Seed Financing Segregation Requirements Self-Dealing Senate Banking Committee Sensitive Business Information Separation of Powers Settlement Agreements Settlements Severance Agreements Shareholder Litigation Silicon Valley Social Media Policy Social Networks Software Spain Spokeo v Robins Stand-Alone SBSDs Standard of Care Stark Law Startups State Law Claims Strategic Enforcement Plan Strategic Planning Structured Finance Subpart F Subprime Mortgages Subsidiaries Summary Judgment SunTrust Supervision Suspensions & Debarments Swap Data Repositories Swap Market