Browse Related Topics For:

Securities › Military › Securities

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Investment Adviser

Publicly-Traded Companies

Enforcement Actions

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

CFTC

Securities Fraud

Securities Exchange Act

Securities Litigation

Financial Institutions

Beneficial Owner

Greenhouse Gas Emissions

Risk Management

Corporate Transparency Act

Regulatory Agenda

Artificial Intelligence

UK

Investment Advisers Act of 1940

Securities Exchange Act of 1934

Regulatory Requirements

Board of Directors

Capital Markets

EU

Financial Industry Regulatory Authority (FINRA)

Anti-Money Laundering

Initial Public Offering (IPO)

Special Purpose Acquisition Companies (SPACs)

Financial Conduct Authority (FCA)

Investment Management

White Collar Crimes

Securities Act of 1933

Insider Trading

Investment Funds

Cyber Incident Reporting

Foreign Corrupt Practices Act (FCPA)

Registered Investment Advisors

Financial Markets

Policies and Procedures

Recordkeeping Requirements

Corporate Social Responsibility

Financial Regulatory Reform

Macquarie Infrastructure Corp v Moab Partners LP

Whistleblower Protection Policies

Corporate Counsel

Crypto Exchanges

Financial Crimes

Regulatory Oversight

Anti-Corruption

Bank Secrecy Act

Investment Company Act of 1940

Venture Capital

ETFs

Misleading Statements

Misrepresentation

Conflicts of Interest

Risk Assessment

Consumer Financial Protection Bureau (CFPB)

Federal Trade Commission (FTC)

European Securities and Markets Authority (ESMA)

Money Laundering

Asset Management

National Security

Putative Class Actions

Criminal Prosecution

Regulatory Reform

Decentralized Finance (DeFi)

Federal Reserve

Financial Statements

Stock Repurchases

Filing Deadlines

Material Misstatements

Securities Transactions

Whistleblower Awards

Civil Monetary Penalty

Failure To Disclose

IRS

Machine Learning

Corporate Misconduct

Regulatory Standards

Department of Labor (DOL)

Electronic Communications

Emerging Growth Companies

Investment Companies

Office of Foreign Assets Control (OFAC)

Suspicious Activity Reports (SARs)

Voluntary Disclosure

Bank of England

Capital Raising

Executive Compensation

False Statements

Commodity Exchange Act (CEA)

Consumer Financial Products

Prudential Regulation Authority (PRA)

Smaller Reporting Companies

Canadian Securities Administration

Controlling Stockholders

Corporate Issuers

Employee Retirement Income Security Act (ERISA)

Exempt Reporting Advisers (ERAs)

FDIC

Foreign Private Issuers

NPRM

NYSE

OCC

Rulemaking Process

Incident Response Plans

Internal Controls

Non-Fungible Tokens (NFTs)

Retirement Plan

FBI

FHFA

Futures Commission Merchants (FCMs)

Registration Requirement

Adverse Employment Action

Alternative Investment Fund Managers Directive (AIFMD)

Constitutional Challenges

Delaware General Corporation Law

Exchange-Traded Products

Filing Requirements

Financial Reporting

Investment Firms

Shell Corporations

Trading Platforms

Climate Action Plan

Confidential Information

Corporate Officers

Customer Identification Program (CIP)

Data Protection

European Commission

Market Participants

Murray v UBS Securities LLC

Hong Kong Stock Exchange

Material Nonpublic Information

Misappropriation

NDAA

Proposed Amendments

Proxy Statements

Shareholder Litigation

Unregistered Securities

Accredited Investors

Administrative Procedure Act

Diversity and Inclusion Standards (D&I)

False Claims Act (FCA)

Internal Revenue Code (IRC)

Limited Liability Company (LLC)

Proposed Legislation

Technology Sector

Virtual Currency

Business Entities

Digital Currency

Distributed Ledger Technology (DLT)

Economic Sanctions

Employer Liability Issues

Institutional Investors

Investment Opportunities

Listing Standards

New Regulations

Pharmaceutical Industry

Private Equity Funds

Risk Mitigation

Shareholder Proposals

Capital Formation

Corporate Crimes

DE Supreme Court

First Amendment

Investor Protection

Prohibited Transactions

Sustainable Business Practices

Anti-Retaliation Provisions

Biden Administration

Customer Due Diligence (CDD)

Employee Benefits

Foreign Investment

Motion to Dismiss

Non-Public Information

Notice of Proposed Rulemaking (NOPR)

Ontario Securities Commission (OSC)

Portfolio Companies

Regulatory Violations

Retail Investors

SBA

Securities Traders

State Attorneys General

Task Force on Climate-related Financial Disclosures (TCFD)

UBS

Amended Regulation

Chief Compliance Officers

Commercial Bankruptcy

Confidentiality Agreements

Environmental Policies

FEPA

Financial Services Committee

Financial Transactions

Investment Contract

Limited Partnerships

Merger Agreements

MNPI

NCUA

Proxy Voting Guidelines

Real Estate Investments

Regulatory Authority

REIT

Self-Disclosure Requirements

AIFM

Bankruptcy Court

Books & Records

Business Ownership

Business Strategies

Carbon Emissions

Chief Information Security Officer (CISO)

Compensation & Benefits

Coronavirus/COVID-19

European Banking Authority (EBA)

Financial Services and Markets Act

Governance Standards

Institutional Shareholder Services (ISS)

New Legislation

Proposed Regulation

Proxy Advisory Firms

Public Offerings

SFDR

Shareholder Rights

Smart Contracts

Unconstitutional Condition

Closed-End Funds

Commodity Trading Advisors (CTAs)

Compliance Dates

Consumer Lenders

Decentralized Autonomous Organization (DAO)

Entire Fairness Standard

Financial Instruments

Food and Drug Administration (FDA)

GAAP

HKEx

Individual Retirement Account (IRA)

MD&A Statements

Ownership Interest

Personal Information

Political Contributions

Portfolio Managers

Registration Statement

Renewable Energy

SEC Examination Priorities

Securities Dealers

Summary Judgment

Sustainable Finance

Bankruptcy Code

Business Judgment Rule

Business Litigation

Cease and Desist Orders

Corporations Code

Criminal Penalties

Customer Information

Deferred Prosecution Agreements

Derivatives Clearing Organizations

Enforcement Priorities

Environmental Protection Agency (EPA)

Executive Orders

Foreign Corporations

Hong Kong Securities and Futures Commission (HKSFC)

Information Technology

Insurance Industry

Intellectual Property Protection

Judicial Review

Legislative Agendas

NIST

Notice Requirements

Shareholder Meetings

Statutory Violations

Stock Purchase Agreement

Stockholder Agreements

Terrorism Funding

Administrative Proceedings

Administrative Stay

Benefit Plan Sponsors

Commercial Litigation

Commodities Traders

Corporate Sales Transactions

Criminal Investigations

Department of Financial Protection and Innovation (DFPI)

Early Stage Companies

Export Controls

Foreign Direct Investment

Foreign Entities

Hiring & Firing

IFRS

Incentive Compensation

Innovative Technology

Know Your Customers

Market Manipulation

Mortgage-Backed Securities

Non-GAAP Financial Measures

Private Equity Firms

Protected Activity

Regulation Technical Standards (RTS)

Securities Exchanges

Securities Settlement Cycles

Securities Tokens

Securitization Standards

Shareholder Activism

Syndicated Loans

Trading Policies

XBRL Filing Requirements

401k

Activist Investors

Administrative Law Judge (ALJ)

Anti-Fraud Provisions

CEOs

Commerce Clause

Continuing Legal Education

Corporate Taxes

Cybersecurity Information Sharing Act (CISA)

Data Collection

Debt Securities

Derivative Suit

Designated Contract Markets (DCMs)

Digital Securities

Digital Wallets

FATF

FCPA Corporate Enforcement Policy (CEP)

Federal Contractors

Fees

Financial Adviser

Fraudulent Transfers

Freeze-Out Mergers

FSMA

General Data Protection Regulation (GDPR)

Information Governance

Information Reports

Initial Coin Offering (ICOs)

Investment Portfolios

ISDA

Law Enforcement

Money Transmitter

NAV

No-Action Letters

Objective Falsity

OECD

Passive Investments

Policy Statement

Price Inflation

Private Placements

Privately Held Corporations

Serious Fraud Office (SFO)

Settlement Agreements

Seventh Amendment

Shareholder Approval

SRO

Third-Party Risk

Wealth Management

Alternative Investment Funds

Antitrust Provisions

Arbitration Agreements

British Columbia Securities Commission

Business Disputes

Capital Investments

Chamber of Commerce

Class Certification

Clearing Agencies

Consumer Financial Protection Act (CFPA)

Consumer Protection Act

Corporate Financing

Credit Facilities

Criminal Conspiracy

Critical Infrastructure Sectors

Data Management

Debt

Department of Defense (DOD)

Department of Energy (DOE)

Dispute Resolution

Employment Contract

Entertainment Industry

Equity Securities

European Parliament

Federal Acquisition Regulations (FAR)

Fifth Amendment

Foreign Exchanges

Foreign Issuers

Fourth Amendment

Government Securities

Gramm-Leach-Blilely Act

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Inflation Reduction Act (IRA)

Instant Messaging Apps

Investment Products

Long-Term Investment Funds

Major Swap Participants

Multidistrict Litigation

Municipal Bonds

NAIC

NLRB

Non-Disclosure Agreement

Non-Prosecution Agreements

Notification Requirements

OMB

Online Platforms

Operating Agreements

Personally Identifiable Information

Private Investment Funds

Private Right of Action

PTEs

Public Meetings

Quarterly Report

Real Estate Market

Regulation Best Interest

Reverse Stock Splits

Safeguards Rule

Sanction Violations

Secondary Markets

Securitization Market

Security-Based Swaps

Shareholder Votes

Small and Medium-Sized Enterprises (SMEs)

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Accounting Standards

Acquisition Agreements

Anti-Kickback Statute

Appellate Courts

ASIC

Asset-Backed Securities

British Columbia Securities Commission (BCSC)

Bureau of Industry and Security (BIS)

Business Development

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CDIs

CFOs

Chevron Deference

Compliance Monitoring

Congressional Committees

Congressional Review Act

Consultation Papers

Consumer Protection Laws

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

CPOs

Criminal Convictions

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Disciplinary Proceedings

Electric Vehicles

EMIR

Employee Stock Purchase Plans

Energy Information Association (EIA)

Equal Employment Opportunity Commission (EEOC)

Equity Financing

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Labor Standards Act (FLSA)

Fair Market Value

False Advertising

FASB

Federal Funding

Federal Pilot Programs

Federal Register

Federal Sentencing Guidelines

FICC

Financial Stability Board

Foreign Nationals

FSOC

Guidance Update

Indemnification

Internal Investigations

Internal Rate of Return (IRR)

Investment Trust Companies

London Stock Exchange

Majority Shareholders

Material Misrepresentation

Monetary Authority of Singapore

MSRB

Non-Bank Lenders

NSBA

OIG

Open-Ended Fund Companies (OFCs)

Pay-for-Performance

Pending Legislation

PFAS

Predictive Analytics

Primary Residence

Private Investment in Public Equity (PIPEs)

Promissory Notes

Proposed Guidance

Public Communications

Public Consultations

Public Disclosure

Public Interest

Registered Investment Companies (RICs)

Regular Business Communications

Remedial Actions

Repurchase Agreements

Restricted Stocks

Reverse Mergers

SAP America Inc.

SEC Comment Letter Process

Securities Contracts

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

Total Shareholder Return (TSR)

Unfair or Deceptive Trade Practices

Venture Funding

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Affirmative Action

Affirmative Defenses

Aiding and Abetting

AIFs

Alberta Securities Commission

AMF

Angel Investors

Anti-Terrorism Financing

Antitrust Violations

Appropriations Bill

Attorney General

Automation Systems

Banking Regulators

Breach Notification Rule

Burden of Proof

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)

Chicago Mercantile Exchange (CME)

Civil Rights Act

Code of Conduct

Collateralized Loan Obligations

Complex Corporate Transactions

Compliance Management Systems

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Covered Entities

Criminal Liability

Cross-Border Transactions

Debt Instruments

Debt Restructuring

Demand Futility

Depository Institutions

Digital Platforms

Division of Corporate Finance

Dormant Commerce Clause

Economic Development

Educational Institutions

EFTs

Employee Misconduct

Employee Training

Employer Identification Number (EIN)

Energy Projects

Enforcement Authority

Enforcement Statistics

Equal Protection

Equity Compensation

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair-Notice Standard

Federal Arbitration Act

Federal Rules of Civil Procedure

Financial Policy Committee

Financial Regulatory Agencies

Foreign Acquisitions

Foreign Currency

Foreign Official

Fraudulent Concealment

General Corporation Law

General Solicitation

General-Business

Geopolitical Risks

Golden Parachutes