Browse Related Topics For:

Securities › Firm Marketing › Finance & Banking

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Investment Adviser

Enforcement Actions

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Securities Fraud

Beneficial Owner

CFTC

Securities Exchange Act

Securities Litigation

Corporate Transparency Act

Greenhouse Gas Emissions

Financial Institutions

Risk Management

Regulatory Agenda

Artificial Intelligence

Investment Advisers Act of 1940

Regulatory Requirements

Securities Exchange Act of 1934

UK

Capital Markets

Financial Industry Regulatory Authority (FINRA)

Board of Directors

Anti-Money Laundering

EU

Special Purpose Acquisition Companies (SPACs)

Initial Public Offering (IPO)

Financial Conduct Authority (FCA)

Securities Act of 1933

White Collar Crimes

Investment Management

Insider Trading

Foreign Corrupt Practices Act (FCPA)

Investment Funds

Corporate Social Responsibility

Registered Investment Advisors

Financial Markets

Whistleblower Protection Policies

Cyber Incident Reporting

Financial Regulatory Reform

Recordkeeping Requirements

Policies and Procedures

Macquarie Infrastructure Corp v Moab Partners LP

Crypto Exchanges

Financial Crimes

Stock Repurchases

Corporate Counsel

Investment Company Act of 1940

Anti-Corruption

Conflicts of Interest

Misrepresentation

Money Laundering

Regulatory Oversight

Venture Capital

Bank Secrecy Act

Misleading Statements

Federal Trade Commission (FTC)

Regulatory Reform

Consumer Financial Protection Bureau (CFPB)

Federal Reserve

National Security

Risk Assessment

ETFs

Criminal Prosecution

European Securities and Markets Authority (ESMA)

Financial Statements

Putative Class Actions

Civil Monetary Penalty

Filing Deadlines

Asset Management

IRS

Whistleblower Awards

Bank of England

Failure To Disclose

Material Misstatements

Decentralized Finance (DeFi)

Machine Learning

Office of Foreign Assets Control (OFAC)

Securities Transactions

Corporate Misconduct

Emerging Growth Companies

False Statements

FDIC

Investment Companies

Capital Raising

Executive Compensation

OCC

Suspicious Activity Reports (SARs)

Canadian Securities Administration

Climate Action Plan

Consumer Financial Products

Controlling Stockholders

Electronic Communications

Filing Requirements

Regulatory Standards

Smaller Reporting Companies

Administrative Procedure Act

Commodity Exchange Act (CEA)

Constitutional Challenges

FHFA

Financial Reporting

Foreign Private Issuers

NYSE

Proposed Amendments

Corporate Issuers

Internal Controls

Prudential Regulation Authority (PRA)

Trading Platforms

FBI

Futures Commission Merchants (FCMs)

NDAA

NPRM

Proxy Statements

Rulemaking Process

Unregistered Securities

Voluntary Disclosure

Adverse Employment Action

Confidential Information

Corporate Officers

Exchange-Traded Products

Market Participants

Non-Fungible Tokens (NFTs)

Registration Requirement

Shell Corporations

Department of Labor (DOL)

European Commission

Internal Revenue Code (IRC)

Limited Liability Company (LLC)

Murray v UBS Securities LLC

Technology Sector

Alternative Investment Fund Managers Directive (AIFMD)

Business Entities

Delaware General Corporation Law

Hong Kong Stock Exchange

Misappropriation

Accredited Investors

Diversity and Inclusion Standards (D&I)

Employee Retirement Income Security Act (ERISA)

Exempt Reporting Advisers (ERAs)

Institutional Investors

Listing Standards

Material Nonpublic Information

Virtual Currency

Digital Currency

Employer Liability Issues

Investment Firms

Pharmaceutical Industry

Risk Mitigation

Shareholder Litigation

Task Force on Climate-related Financial Disclosures (TCFD)

Anti-Retaliation Provisions

Capital Formation

Customer Identification Program (CIP)

Data Protection

DE Supreme Court

Distributed Ledger Technology (DLT)

Economic Sanctions

False Claims Act (FCA)

First Amendment

Foreign Investment

Investment Opportunities

Investor Protection

Private Equity Funds

Proposed Legislation

Proxy Voting Guidelines

Biden Administration

Business Ownership

Business Strategies

Chief Compliance Officers

Confidentiality Agreements

Corporate Crimes

Customer Due Diligence (CDD)

European Banking Authority (EBA)

Financial Services Committee

Financial Transactions

NCUA

Non-Public Information

Ontario Securities Commission (OSC)

Real Estate Investments

Regulatory Violations

Retail Investors

Retirement Plan

SBA

Self-Disclosure Requirements

Shareholder Proposals

State Attorneys General

UBS

Amended Regulation

Chief Information Security Officer (CISO)

Hong Kong Securities and Futures Commission (HKSFC)

Incident Response Plans

Institutional Shareholder Services (ISS)

Investment Contract

New Regulations

Notice of Proposed Rulemaking (NOPR)

Proposed Regulation

REIT

Securities Traders

Smart Contracts

Sustainable Business Practices

Unconstitutional Condition

Administrative Proceedings

Bankruptcy Court

Books & Records

Carbon Emissions

Commercial Bankruptcy

Compensation & Benefits

Consumer Lenders

Coronavirus/COVID-19

Environmental Policies

Food and Drug Administration (FDA)

Governance Standards

MNPI

New Legislation

Portfolio Companies

Proxy Advisory Firms

Public Offerings

Registration Statement

SEC Examination Priorities

SFDR

Shareholder Rights

Administrative Law Judge (ALJ)

Business Litigation

Capital Investments

Commodity Trading Advisors (CTAs)

Compliance Dates

Continuing Legal Education

Criminal Penalties

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Entire Fairness Standard

FEPA

Financial Instruments

Financial Services and Markets Act

GAAP

Market Manipulation

MD&A Statements

Merger Agreements

Motion to Dismiss

Ownership Interest

Regulatory Authority

Securities Dealers

Seventh Amendment

Statutory Violations

Summary Judgment

Asset-Backed Securities

Bankruptcy Code

Business Judgment Rule

Cease and Desist Orders

Derivatives Clearing Organizations

Employment Contract

Enforcement Priorities

Environmental Protection Agency (EPA)

Executive Orders

Foreign Direct Investment

HKEx

Investment Portfolios

Judicial Review

Limited Partnerships

NIST

Non-GAAP Financial Measures

Political Contributions

Portfolio Managers

Prohibited Transactions

Renewable Energy

Securities Exchanges

Securities Tokens

Shareholder Activism

Shareholder Meetings

Terrorism Funding

Administrative Stay

AIFM

Chamber of Commerce

Closed-End Funds

Commercial Litigation

Corporations Code

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Entities

Hiring & Firing

Individual Retirement Account (IRA)

Information Technology

Innovative Technology

Intellectual Property Protection

Know Your Customers

NAV

Personal Information

Policy Statement

Protected Activity

Regulation Technical Standards (RTS)

Securitization Standards

Shareholder Votes

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Trading Policies

XBRL Filing Requirements

Clearing Agencies

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Sales Transactions

Corporate Taxes

Criminal Investigations

Cybersecurity Information Sharing Act (CISA)

Data Collection

Debt

Debt Securities

Department of Energy (DOE)

Derivative Suit

Designated Contract Markets (DCMs)

Digital Securities

Digital Wallets

Dispute Resolution

Early Stage Companies

Export Controls

FATF

Federal Contractors

Foreign Exchanges

Fraudulent Transfers

Freeze-Out Mergers

General Data Protection Regulation (GDPR)

Incentive Compensation

Information Reports

Initial Coin Offering (ICOs)

Insurance Industry

Investment Products

ISDA

Law Enforcement

Legislative Agendas

Money Transmitter

Mortgage-Backed Securities

Non-Prosecution Agreements

OECD

Passive Investments

Private Equity Firms

Privately Held Corporations

Quarterly Report

Regulation Best Interest

Reverse Stock Splits

Securities Settlement Cycles

Serious Fraud Office (SFO)

SRO

Third-Party Risk

Wealth Management

401k

Accounting Standards

Alternative Investment Funds

Anti-Fraud Provisions

Antitrust Provisions

British Columbia Securities Commission

Business Disputes

CEOs

Class Certification

Consumer Financial Protection Act (CFPA)

Corporate Financing

Critical Infrastructure Sectors

Data Management

Debt Collection

Department of Defense (DOD)

Entertainment Industry

European Parliament

FASB

Federal Acquisition Regulations (FAR)

Fees

Fifth Amendment

Financial Adviser

Foreign Issuers

Fourth Amendment

FSMA

Government Securities

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

IFRS

Inflation Reduction Act (IRA)

Instant Messaging Apps

International Emergency Economic Powers Act (IEEPA)

Long-Term Investment Funds

Major Swap Participants

Multidistrict Litigation

Municipal Bonds

No-Action Letters

Non-Disclosure Agreement

Notice Requirements

Objective Falsity

OMB

Online Platforms

Operating Agreements

Pay-for-Performance

Predictive Analytics

Price Inflation

Private Investment Funds

Private Right of Action

Public Meetings

Repurchase Agreements

Sanction Violations

Security-Based Swaps

Settlement Agreements

Shareholder Approval

Small and Medium-Sized Enterprises (SMEs)

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Total Shareholder Return (TSR)

Acquisition Agreements

Activist Investors

Anti-Kickback Statute

Appellate Courts

Arbitration Agreements

ASIC

Benefit Plan Sponsors

British Columbia Securities Commission (BCSC)

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CDIs

CFOs

Chevron Deference

Compliance Monitoring

Congressional Review Act

Consultation Papers

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

Covered Entities

CPOs

Credit Facilities

Criminal Conspiracy

Customer Information

Data Preservation

Declaratory Judgments

Department of Homeland Security (DHS)

Disciplinary Proceedings

Electric Vehicles

EMIR

Energy Information Association (EIA)

Enforcement Authority

Enforcement Statistics

Equal Protection

Equity Securities

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

FICC

Financial Regulatory Agencies

Financial Stability Board

FSOC

Government Investigations

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Guidance Update

Indemnification

Information Governance

Internal Investigations

Internal Rate of Return (IRR)

London Stock Exchange

Majority Shareholders

Material Misrepresentation

Monetary Authority of Singapore

Money Transmission Act

MSRB

NAIC

NLRB

NSBA

OIG

Open-Ended Fund Companies (OFCs)

PFAS

Primary Residence

Private Placements

Promissory Notes

Proposed Guidance

PTEs

Public Consultations

Public Disclosure

Real Estate Market

Regular Business Communications

Restricted Stocks

Reverse Mergers

Safeguards Rule

SAP America Inc.

SEC Comment Letter Process

Secondary Markets

Securities Contracts

Securitization Market

Special Purpose Entities

Split of Authority

State and Local Government

Statutory Interpretation

Strategic Planning

Structured Finance

Structured Financial Products

Subscription Services

Tax Exempt Entities

Terrorist Financing

Terrorist Financing Regulations

Third-Party Service Provider

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Affirmative Action

Affirmative Defenses

Aiding and Abetting

Alberta Securities Commission

Angel Investors

Anti-Terrorism Financing

Arbitrary and Capricious

Attorney General

Automation Systems

Banking Regulators

Breach Notification Rule

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development

Business Valuations

Buy-Side Trading

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

Central Bank Digital Currency (CBDCs)

Change of Control

Chicago Mercantile Exchange (CME)

Civil Rights Act

Collateralized Loan Obligations

Complex Corporate Transactions

Compliance Management Systems

Congressional Committees

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Demand Futility

Department of Education

Depository Institutions

Digital Platforms

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

EFTs

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Employment Litigation

Energy Projects

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair Labor Standards Act (FLSA)

Fair-Notice Standard

FCC

Federal Arbitration Act

Federal Funding

Federal Register

Federal Rules of Civil Procedure

Financial Reporting Council (FRC)

Foreign Currency

Foreign Official

Fraud and Abuse

Fraudulent Concealment

General Corporation Law

General Solicitation

General-Business

Golden Parachutes

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)