Securities Labor & Employment Finance & Banking

SEC Dodd-Frank Whistleblowers ERISA Fiduciary Duty Executive Compensation SCOTUS DOL Enforcement Actions Compliance Disclosure Requirements FIfth Third Bancorp v Dudenhoeffer ESOP Retirement Plan Whistleblower Protection Policies Retaliation Sarbanes-Oxley Investment Adviser Proposed Regulation Employee Benefits Shareholders Whistleblower Awards Employer Liability Issues FINRA Pay-for-Performance Popular Proxy Statements Publicly-Traded Companies Stock Drop Litigation CFTC Pensions Total Shareholder Return (TSR) 401k US Bancorp IRS Corporate Governance Regulation S-K Benefit Plan Sponsors Anti-Retaliation Provisions EU Broker-Dealer Enforcement ISS Chief Compliance Officers Securities Exchange Act Shareholder Proposals Stocks Breach of Duty FCPA Hedge Funds Hedging Proxy Access Rule Public Disclosure Board of Directors Class Action Employee Stock Purchase Plans Hiring & Firing Proxy Season Securities Equity Compensation Investment Funds No-Action Letters Say-on-Pay Banks Confidentiality Agreements Reporting Requirements Settlement Directors DOJ Duty of Prudence Fifth Third Mortgage Company Swaps Appeals Compensation Committee Fraud C-Suite Executives Corporate Counsel Federal Reserve Final Rules Financial Institutions Private Equity Proposed Amendments Retirement Stock Options Brokers CEOs CFPB Clawbacks Corporate Officers Diversity Internal Investigations IRA NYSE Proxy Voting Guidelines Bylaws Canada Cybersecurity ESMA Insider Trading IRC JOBS Act KBR (formerly Kellogg Brown & Root) Lawson v FMR Nasdaq Risk Management XBRL Filing Requirements Conflicts of Interest Deferred Compensation Ethics Fiduciary Liability Fiduciary Standard Incentive Compensation Investment Management OSHA Registration Rule 14a-8 Securities Act of 1933 Administrative Review Board Arbitration Audits Background Checks Commercial Bankruptcy Contractors Derivatives False Statements Form 10-K Incentive Stock Options Investment Advisers Act of 1940 Issuers Moench Presumption OCC OMWI PBGC Private Equity Funds Risk Assessment Section 409A Subcontractors Swap Dealers Trustees U.S. Bancorp Anti-Corruption Banking Sector Bonds Compensation & Benefits Corporate Culture Due Diligence EMIR Employer Mandates Form 8-K Glass Lewis Halliburton Investigations Investors Morgan Stanley Mortgages Municipal Advisers Mutual Funds Notice Requirements Pay Ratio Pay-To-Play Regulation D RMBS Securities Fraud Small Business Statute of Limitations U.S. Treasury Adverse Employment Action AIFM AIFMD Annual Meeting Annual Reports CalPERS China Custody Rule Deadlines Defined Benefit Plans Disclosure EEOC Employment Contract Equity Plans Exemptions False Claims Act FDIC Filing Requirements Financial Regulatory Reform Financial Services Industry FMR LLC Halliburton v Erica P. John Fund Income Taxes Investment Company Act of 1940 Joint Policy Statements Major Swap Participants Management Proposals Misrepresentation Mortgage-Backed Securities MSRB Municipalities Non-Disclosure Agreement OCIE Prohibited Transactions Protected Activity Proxy Advisors Qualified Retirement Plans Rule 21F Shareholder Litigation Shareholder Rights Startups 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 Consumer Protection Act Corruption Cross-Border Transactions Discrimination Emerging Growth Companies Equity Markets Equity Securities European Commission Fee Disclosure Fees Fiduciaries Filing Deadlines Financial Statements Foreign Investment Former Directors Golden Parachutes Institutional Investors Internal Reporting IRA Rollovers JPMorgan Chase Jurisdiction Lehman Brothers Liability Loss Causation 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 Proposed Legislation Public Comment Public Employees QPAM Recruitment Policies Rulemaking Process Safe Harbors Section 11 Section 162(m) Securities Litigation Security-Based Swaps SIFMA Social Media Termination Tibble v Edison Int Transparency UBS UCITS Valuation Wall Street Year-End Planning 403(b) Plans 457(b) Plans Acquisitions Actual or Constructive Knowledge Affiliates Affordable Care Act Appraisal Asset Diversification 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 Commodities Exchange Act Commodity Pool Conflict Mineral Rules Conflicts of Laws Criminal Prosecution Cross-Border Cross-Collateralization Agreements Crowdfunding Data Breach Data Protection Deferred Prosecution Agreements Defined Contribution Plans Disgorgement Dismissals DOMA Employer Group Health Plans Employment Policies Enforcement Statistics Entrepreneurs EPCRS ETFs Exelon Generation Family Offices FCA Fee-Shifting FFIEC FICA Taxes Financial Adviser Financial Markets Financial Products Financial Services Committee Foreign Affiliates Foreign Corporations Foreign Nationals Fraud-on-the-Market Futures GreatBanc Health Insurance Independence Rules Independent Boards Independent Contractors Insurers Internal Controls Internal Revenue Code International Labor Laws Investment Portfolios IPO Job Applicants 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 Personal Liability Plan Documents 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 304 Section 457A Settlement Agreements Severance Agreements Severance Pay Share Buybacks Shareholder Activism Shareholder Votes Siemens Statute of Repose Sun Capital Partners TD Ameritrade Third-Party Risk Visas Wage and Hour 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 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 Assessment Asset Valuations Associated Persons Attorney's Fees Auditors Australia Automotive Industry Backdoor Listings Bailout Bank Fraud Bank of England Basel Committee Basic v Levinson 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 Chapter 11 Choke Point CIGNA v Amara Class Action Arbitration Waivers Class Certification Closely Held Businesses CME CNIL Code of Conduct Collateralized Debt Obligations Collective Bargaining Comment Period 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 Social Responsibility Corporate Taxes Corporate Veil Counterparties Covered Entities 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 Definitively and Specifically Standard Department of Business Oversight Derivative Suit Derivatives Clearing Organizations Deutsche Bank Discount Stock Options Discovery Rule Distribution Rules Diversity and Inclusion Standards (D&I) Dividends Division of Economic and Risk Analysis (DERA) DMO Dominos DSIO DuPont Durbin Amendment Rules Duty of Care Duty of Loyalty Duty to Disclose Duty to Investigate EBA eBay EEO-1 Electronically Stored Information EMI Scheme Employee Definition Employee Privacy Rights Employee Share Schemes Employee Shareholders Employee Stock Purchase Rights Employees End-Users Englehart Equal Opportunities Equitable Estoppel Equitable Relief Equitable Surcharge Equity Financing Ernst & Young EU Data Protection Laws European Court of Justice Evidence Examination Priorities Exceptions Excessive Fees Excise Tax Exercise of an Option Expert Testimony Extraterritoriality Rules Extrinsic Evidence Facebook Fair Lending Fair Market Value FASB FCIC FCMs FCPA Resource Guide FCRA FDCPA Federal Contractors Federal Register Federal Rules of Civil Procedure Fee-Shifting Statutes Felons FHA Fidcuciary Liability Final Guidance Financial Companies Financial Conduct Authority 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 BE-10 Form SD Former Employee Former Employer 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 Exchanges Healthcare HHS HIPAA Home Depot Hong Kong Hotlines Human Resources Professionals IASB Incorporation by Reference 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 Kodak 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 Medicare Taxes Merrill Lynch MiFID II Misappropriation MOFCOM Mortgage Brokers Mortgage Servicers Motion to Dismiss Motor Vehicles Municipal Securities Market NCUA 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 Personally Identifiable Information Pharmaceutical Manufacturers PHI Plan Administrators 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 Policy Public Procurement Policies Public Records Act 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 Roth IRA Roundtable Rule Rule 23 Rule 506(d) Rule 701(e) Rule G-20 S&P 500 Salary Caps Sales Commissions Saudi Stock Exchange SBC Schedule 14A Scienter Search Warrant Section 10D Section 15(c) Section 220 Request SEFs Self-Dealing Separation Agreement Sequestration Serious Fraud Office Singapore SIP Small Entity Compliance Guide Southern California Edison Special Purpose Vehicles Spoofing SPVs St Jude Medical Center Stamp Duty Land Tax Standard of Care State and Local Government Statement of Defence Stock Corporations Stock Repurchases Stock Trades Stress Tests Student Loans Subordination Subrogation Subsidiaries Subsidies Summary of Benefits and Coverage SunTrust Supervision Supervisors Suppliers 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 Transfer of Assets Transportation Security Administration Trust Administration Trust Funds Trust Preferred Securities TSX Venture Exchange Twitter Underwriting Unemployment VCOCs Verizon Vicarious Liability Voluntary Correction Program Wages Waivers Wall Street Journal WARN Act Warrantless Searches Wire Fraud Work Permits Yard Man