Securities Labor & Employment Finance & Banking

SEC Dodd-Frank Whistleblowers ERISA Executive Compensation Fiduciary Duty SCOTUS DOL Enforcement Actions Disclosure Requirements Compliance FIfth Third Bancorp v Dudenhoeffer ESOP Retirement Plan Whistleblower Protection Policies Retaliation Investment Adviser Proposed Regulation Sarbanes-Oxley Employee Benefits Shareholders Whistleblower Awards Pay-for-Performance Proxy Statements FINRA Popular CFTC Employer Liability Issues Stock Drop Litigation Pensions Total Shareholder Return (TSR) Publicly-Traded Companies US Bancorp 401k Corporate Governance Regulation S-K IRS Benefit Plan Sponsors EU Anti-Retaliation Provisions Enforcement Shareholder Proposals Broker-Dealer ISS Chief Compliance Officers Hedging FCPA Hedge Funds Proxy Access Rule Securities Exchange Act Stocks Breach of Duty Proxy Season Public Disclosure Securities Class Action Employee Stock Purchase Plans Equity Compensation Investment Funds No-Action Letters Say-on-Pay Banks Hiring & Firing Reporting Requirements Settlement Confidentiality Agreements Duty of Prudence Fifth Third Mortgage Company Swaps Appeals Compensation Committee Fraud Corporate Counsel DOJ Private Equity Proposed Amendments Stock Options Board of Directors Brokers C-Suite Executives CEOs Federal Reserve Final Rules Financial Institutions Internal Investigations IRA Proxy Voting Guidelines Retirement Bylaws Canada CFPB Cybersecurity Directors ESMA Insider Trading IRC JOBS Act Lawson v FMR NYSE Risk Management XBRL Filing Requirements Conflicts of Interest Deferred Compensation Diversity Fiduciary Liability Fiduciary Standard Investment Management KBR (formerly Kellogg Brown & Root) Nasdaq Registration Rule 14a-8 Securities Act of 1933 Administrative Review Board Arbitration Audits Background Checks Contractors Derivatives Ethics False Statements Form 10-K Incentive Stock Options Investment Advisers Act of 1940 OSHA Pay Ratio PBGC Risk Assessment Section 409A Subcontractors Swap Dealers Trustees U.S. Bancorp Anti-Corruption Bonds Clawbacks Commercial Bankruptcy Compensation & Benefits Corporate Culture Due Diligence EMIR Employer Mandates Form 8-K Glass Lewis Halliburton Investigations Investors Issuers Moench Presumption Morgan Stanley Mortgages Municipal Advisers Mutual Funds Notice Requirements OCC Pay-To-Play Private Equity Funds Regulation D RMBS Securities Fraud Adverse Employment Action AIFM AIFMD Annual Meeting Annual Reports Banking Sector CalPERS China Corporate Officers Custody Rule Deadlines Defined Benefit Plans Disclosure EEOC Employment Contract Equity Plans Exemptions Filing Requirements Financial Regulatory Reform FMR LLC Halliburton v Erica P. John Fund Income Taxes Investment Company Act of 1940 Major Swap Participants Management Proposals Mortgage-Backed Securities MSRB Municipalities Non-Disclosure Agreement OCIE OMWI Protected Activity Proxy Advisors Qualified Retirement Plans Rule 21F Shareholder Rights Small Business Startups Statute of Limitations Strategic Enforcement Plan Summary Plan Description Swap Clearing Tax Deductions Training UK Volcker Rule Wal-Mart White Collar Crimes Whole Foods Accredited Investors ALJ Annuities Anti-Money Laundering Arbitration Agreements Bad Actors Bank Secrecy Act Best Interest Standard Best Management Practices Breach of Contract Canadian Securities Administration CCPs CD&A CEA Citigroup Clearing Members Corruption Cross-Border Transactions Discrimination Emerging Growth Companies Equity Markets Equity Securities European Commission False Claims Act FDIC Fees Filing Deadlines Financial Services Industry Financial Statements Foreign Affiliates Foreign Investment Golden Parachutes Institutional Investors Internal Reporting JPMorgan Chase Lehman Brothers Liability Loss Causation Misrepresentation Money Market Funds Monsanto Municipal Securities Issuers New Regulations Non-Solicitation Agreements Omnicare Ontario Securities Commission Participant-Directed Plans Payday Loans Pending Legislation Pension Funds Performance Incentives Prohibited Transactions Proposed Legislation Public Comment Public Employees QPAM Recruitment Policies Rulemaking Process Safe Harbors Section 11 Section 162(m) Securities Litigation Security-Based Swaps Shareholder Litigation SIFMA Social Media Termination Transparency U.S. Treasury UBS UCITS Valuation Wall Street Year-End Planning 403(b) Plans 457(b) Plans Acquisitions Actual or Constructive Knowledge Affiliates Appraisal Asset Management Attorney-Client Privilege Bad Faith Bear Sterns Bernie Madoff Best Interest Contract Exemptions BlackRock Bonuses Bribery Burden of Proof Buyback Programs Capital Markets Capital Requirements Causation Chipotle Grill Coca Cola Coerced Patronage Collateralized Loan Obligations Commodities Commodity Pool Conflict Mineral Rules Conflicts of Laws Consumer Protection Act Corporate Social Responsibility Criminal Prosecution Cross-Border Cross-Collateralization Agreements Crowdfunding Data Breach Data Protection Deferred Prosecution Agreements Disgorgement Dismissals DOMA Employment Policies Enforcement Statistics Entrepreneurs EPCRS ETFs Exelon Generation Family Offices FCA Fee Disclosure Fee-Shifting FFIEC Financial Adviser Financial Products Financial Services Committee Foreign Corporations Foreign Nationals Form BE-10 Fraud-on-the-Market Futures GreatBanc Incentive Compensation Independence Rules Independent Boards Insurers Internal Controls Internal Revenue Code International Labor Laws Investment Portfolios IPO IRA Rollovers Job Applicants Joint Policy Statements Jurisdiction Legislative Agendas Listing Standards Litigation Hold Marathon Oil Marketing Mary Jo White Material Nonpublic Information Misclassification Moody's Multi-Employer Pensions Municipal Bonds NASD NFA No-Action Relief Non-Compete Agreements Non-Judicial Settlement Agreements Nonbank Firms NPRM Omnicare v Laborers District Council OTC Penalties Pleading Standards Pleadings Ponzi Scheme Preemption Private Funds Privately Held Corporations Professional License Prohitibed Transactions Prospectus PTEs Public Pension Putative Class Actions Rebuttable Presumptions Registration Requirement Registration Statement Regulatory Agencies Regulatory Agenda Request For Information Restricted Stocks Revenue Sharing Rule 506 Offerings Russia S&P Same-Sex Marriage Sanctions SAR Saudi Arabia Section 457A Severance Agreements Severance Pay Share Buybacks Shareholder Activism Shareholder Votes Siemens Statute of Repose Sun Capital Partners TD Ameritrade Third-Party Risk Tibble v Edison Int Visas Waiver of Tort Warren Buffet Whistleblower Hotlines Whistleblower Protection Enhancement Act 10b5-1 Plans 16(b) Abuse of Discretion Accountants Accounting Controls Activist Hedge Funds Administrative Authority Administrative Hearings Administrative Procedure Act Advisory Opinions Affiliated-Business Arrangements Affordable Care Act Algorithmic Trading Alternative Investment Fund Managers Directive Alternative Investment Funds Amended Legislation American Pipe & Construction Co. v. Utah Amgen Amgen Inc. v Connecticut Retirement Plans Anthem Blue Cross Anti-Terrorism Act Antitrust Litigation ARIAD Pharmaceuticals Asia ASIC Asset Diversification Asset Valuations Associated Persons Attorney's Fees Auditors Australia Automotive Industry Backdoor Listings Bailout Bank Fraud Bank of England Basel Committee Basic v Levinson BEA Benchmarking BHP Billiton Big Data Bitcoins BitLicense Blackout Rules BNY Mellon Books & Records Boston Properties Inc BRICS Broker Commissions Brokerage Accounts BrokerCheck BSA/AML Bundling Rules Burden-Shifting Business Companies Act Business Conduct Standards Business Development Companies Business Formation Business Taxes Business Valuations Bussing Cadillac Tax Canada Securities Regulators (CSA) Capital Gains Capital One Caremark claim Carried Interest Casinos CBCA CCGG CDIs Cease and Desist Cell Phones Certificates of Incorporation Certiorari Change in Control Choke Point Class Action Arbitration Waivers Class Certification CME CNIL Code of Conduct Collateralized Debt Obligations Comment Period Commodities Exchange Act Commodity Futures Contracts Community Banks Community Health Systems Compensation Agreements Competition Compliance Costs Confidential Information Confidentiality Congressional Investigations & Hearings Consol Energy Consumer Financial Products Consumer Lenders Contract Terms Controlled Groups Convictions Corporate Bonuses Corporate Charters Corporate Financing Corporate Financing Rule Corporate Gifts Corporate Issuers Corporate Management Corporate Sales Transactions Corporate Taxes Corporate Veil Counterparties CPEOs CPO CPOs Credit Checks Credit Default Swaps Credit Ratings Criminal Background Checks CSOP CTA Custody DaimlerChrysler De Minimis Claims Debt Debt Ceiling Debt Financing Deduction Limitations Defense Strategies Defined Contribution Plans Definitively and Specifically Standard Department of Business Oversight Derivative Suit Derivatives Clearing Organizations Deutsche Bank Discount Stock Options Discovery Rule Distribution Rules Dividends Division of Economic and Risk Analysis (DERA) DMO Dominos DSIO DuPont Durbin Amendment Rules Duty to Investigate EBA eBay Electronically Stored Information EMI Scheme Employee Definition Employee Privacy Rights Employee Share Schemes Employee Shareholders Employee Stock Purchase Rights Employees Employer Group Health Plans End-Users Englehart Equitable Estoppel Equitable Relief Equitable Surcharge Equity Financing Ernst & Young EU Data Protection Laws European Court of Justice Evidence Examination Priorities Excessive Fees Excise Tax Exercise of an Option Expert Testimony Extraterritoriality Rules Facebook Fair Lending Fair Market Value FASB FCIC FCMs FCPA Resource Guide FCRA FDCPA Federal Rules of Civil Procedure Fee-Shifting Statutes Felons FHA FICA Taxes Fidcuciary Liability Fiduciaries Final Guidance Financial Companies Financial Conduct Authority Financial Markets Financial Services Authority Financial Transaction Tax Financing FIRREA Fitch FLSA Foreign Banks Foreign Exchanges Foreign Jurisdictions Foreign Markets Foreign-Related Civil Relationships Forfeiture Forfeiture Statutes Form ADV Form SD Former Employee Forum Selection Clause France Free Share Plans FTCA Fund Managers GAAP Gabelli v SEC Gaming GAO Garner GASB Gender Discrimination Gender Equity General Meetings General Motors Genetically Engineered Seed Germany GFOA Global Market Going-Private Transactions Goldman Sachs Govermental Liability Government Officials Government Shutdown Greenhouse Gas Emissions Guns-in-Trunks Legislation Harbinger Capital Partners LLC Hasbro Health Insurance Health Insurance Exchanges Healthcare HIPAA Home Depot Hong Kong Hotlines Human Resources Professionals IASB Incorporation by Reference Independent Contractors IndyMac Information Reports Information Sharing INHAM Injunctions Injunctive Relief Insolvency Inspection Rights Institutional Investment Insurance Products Internal Audit Functions International Finance International Remittance Transfers Internet Interstate Commerce Investment Banks Investment Companies Investment Firms Iran Sanctions Iran Threat Reduction and Syria Human Rights Act IRC Section 83(b) Ireland ISDA ISOs Issuer Exemption Item 402 Item 402(b) Item 407(i) Japan Japan FSA Job Creation Joint and Several Liability Jury Verdicts Just Cause King v Burwell Kohls L-1A Labor Code Laborers District Council Construction Late Filer Rule Law On Application Of Laws Lawson Leave Motions Legislative Committees Liability Insurance Libor Limitation Periods LISCC Loan Servicer Loss of Income Mail Fraud Managers Mandatory Clearing Requirements Margin Requirements Marijuana Market Manipulation Market Participants MAS Material Disclosures Material Misstatements Materiality McDonalds Merrill Lynch MiFID II Misappropriation MOFCOM Mortgage Brokers Mortgage Servicers Motion to Dismiss Motor Vehicles Municipal Securities Market Negligence Negligent Supervision New Guidance New York Times NLRB General Counsel Noble Energy Nominee Directors Non-SD/MSPs NTSA Nuclear Weapons Obama Administration Occidental Petroleum OFAC Offshore Companies Offshore Funds Olympics OMB Ontario Securities Act Oral Argument Order Routing Ordinary Course of Business Defense Overpayment Partnerships Passwords Patent Infringement Payment-In-Kind PCAOB Personal Liability Personally Identifiable Information Pharmaceutical Manufacturers PHI Plan Documents Policy Violations Political Contributions Portfolio Managers PRA PRC Labor Contract Laws PRC Trademark Law Amendments Preliminary Injunctions Prepaid Payment Products Presumption of Reliance Principal Place of Business Privacy Concerns Private Company Shares Private Placements Private Sector Professional Conferences Professional Liability Profit Sharing Proxies Proxy Materials Public Complaint Public Employers Public Entities Public Procurement Policies Public Records Act publicl Puerto Rico Qualified Benefit Plans Qualified Mortgage Rule Qui Tam Racial Discrimination Rating Agencies Re-Investments Real Estate Investments Reasonableness Factors Recess Appointments Recordkeeping Requirements Reformation Regulation A Regulation FD Regulation Z Regulatory Standards Reimbursements Remand Remedial Actions Remuneration Reporting Season RESPA Restrictive Covenants Retroactive Application Retroactivity Revenue Procedure 2015-27 Revenue Procedure 2015-28 Revlon Richard Cordray Right to Privacy Ring-Fencing Risk Alert RJR Nabisco Roth Conversions Roundtable Rule Rule 23 Rule 506(d) Rule 701(e) Rule G-20 S&P 500 Salary Caps Sales Commissions Saudi Stock Exchange Schedule 14A Scienter Search Warrant Section 15(c) Section 220 Request Section 304 SEFs Self-Dealing Separation Agreement Sequestration Serious Fraud Office Settlement Agreements Singapore SIP Small Entity Compliance Guide Special Purpose Vehicles Spoofing SPVs St Jude Medical Center Stamp Duty Land Tax Standard of Care State and Local Government Statement of Defence Statistical Analysis Stock Corporations Stock Repurchases Stock Trades Stress Tests Student Loans Subordination Subrogation Subsidiaries Subsidies SunTrust Supervision Supervisors Surety & Fidelity Swap Agreements Swap Data Repositories Sylvester v Parexel Taiwan Investors Target Securities Tax Evasion Tax Exemptions Tax Reform Tax Refunds TDFs Terms and Conditions TFEU TILA Tips Title Insurance Title IV Tolling Too Big to Fail TPAs TRACE Transportation Security Administration Trust Administration Trust Funds Trust Preferred Securities TSX Venture Exchange Twitter Underwriting Unemployment Verizon Vicarious Liability Voluntary Correction Program Wage and Hour Wages Waivers Wall Street Journal WARN Act Warrantless Searches Wire Fraud Work Permits