Browse Related Topics For:

Securities › Wills, Trusts, & Estates › Professional Malpractice

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Investment Adviser

Enforcement Actions

Environmental Social & Governance (ESG)

Reporting Requirements

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

CFTC

Corporate Transparency Act

Greenhouse Gas Emissions

Risk Management

Regulatory Agenda

Financial Institutions

Artificial Intelligence

Investment Advisers Act of 1940

Securities Fraud

Financial Industry Regulatory Authority (FINRA)

Capital Markets

Regulatory Requirements

Securities Exchange Act

Securities Exchange Act of 1934

Board of Directors

Securities Litigation

Anti-Money Laundering

Special Purpose Acquisition Companies (SPACs)

UK

Initial Public Offering (IPO)

White Collar Crimes

EU

Foreign Corrupt Practices Act (FCPA)

Insider Trading

Securities Act of 1933

Investment Management

Investment Funds

Corporate Social Responsibility

Registered Investment Advisors

Whistleblower Protection Policies

Financial Conduct Authority (FCA)

Financial Markets

Stock Repurchases

Policies and Procedures

Financial Regulatory Reform

Recordkeeping Requirements

Macquarie Infrastructure Corp v Moab Partners LP

Cyber Incident Reporting

Financial Crimes

Investment Company Act of 1940

Anti-Corruption

Corporate Counsel

Crypto Exchanges

Venture Capital

Conflicts of Interest

Money Laundering

Regulatory Oversight

Federal Trade Commission (FTC)

Misleading Statements

Regulatory Reform

Bank Secrecy Act

National Security

Consumer Financial Protection Bureau (CFPB)

Criminal Prosecution

ETFs

Risk Assessment

Civil Monetary Penalty

Financial Statements

European Securities and Markets Authority (ESMA)

Federal Reserve

Filing Deadlines

IRS

Whistleblower Awards

Failure To Disclose

Machine Learning

Office of Foreign Assets Control (OFAC)

Emerging Growth Companies

Administrative Procedure Act

Asset Management

Capital Raising

Corporate Misconduct

Decentralized Finance (DeFi)

Electronic Communications

OCC

Canadian Securities Administration

Consumer Financial Products

False Statements

FDIC

Investment Companies

Securities Transactions

Smaller Reporting Companies

Suspicious Activity Reports (SARs)

Bank of England

Climate Action Plan

Constitutional Challenges

Corporate Issuers

Executive Compensation

Filing Requirements

NYSE

Regulatory Standards

Commodity Exchange Act (CEA)

Controlling Stockholders

Internal Controls

Proposed Amendments

Trading Platforms

FBI

Financial Reporting

Foreign Private Issuers

Futures Commission Merchants (FCMs)

NDAA

Unregistered Securities

Voluntary Disclosure

Adverse Employment Action

European Commission

Exchange-Traded Products

FHFA

Non-Fungible Tokens (NFTs)

Registration Requirement

Shell Corporations

Technology Sector

Confidential Information

Department of Labor (DOL)

Internal Revenue Code (IRC)

Limited Liability Company (LLC)

Market Participants

Murray v UBS Securities LLC

Proxy Statements

Rulemaking Process

Business Entities

Corporate Officers

Hong Kong Stock Exchange

NPRM

Accredited Investors

Alternative Investment Fund Managers Directive (AIFMD)

Delaware General Corporation Law

Virtual Currency

Distributed Ledger Technology (DLT)

Diversity and Inclusion Standards (D&I)

Employee Retirement Income Security Act (ERISA)

Institutional Investors

Listing Standards

Material Nonpublic Information

Misappropriation

Proxy Voting Guidelines

Prudential Regulation Authority (PRA)

Task Force on Climate-related Financial Disclosures (TCFD)

Anti-Retaliation Provisions

DE Supreme Court

Digital Currency

Economic Sanctions

Employer Liability Issues

First Amendment

Foreign Investment

Investment Firms

Investment Opportunities

Investor Protection

Shareholder Litigation

Business Strategies

Capital Formation

Chief Compliance Officers

Confidentiality Agreements

Corporate Crimes

False Claims Act (FCA)

Financial Transactions

Misrepresentation

Ontario Securities Commission (OSC)

Proposed Legislation

Real Estate Investments

Regulatory Violations

Retirement Plan

Risk Mitigation

SBA

Self-Disclosure Requirements

Shareholder Proposals

UBS

Biden Administration

Business Ownership

Chief Information Security Officer (CISO)

Customer Due Diligence (CDD)

Data Protection

European Banking Authority (EBA)

Exempt Reporting Advisers (ERAs)

Hong Kong Securities and Futures Commission (HKSFC)

Institutional Shareholder Services (ISS)

Investment Contract

New Regulations

Non-Public Information

Private Equity Funds

REIT

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Proceedings

Amended Regulation

Carbon Emissions

Commercial Bankruptcy

Compensation & Benefits

Consumer Lenders

Coronavirus/COVID-19

Financial Services Committee

Governance Standards

MNPI

NCUA

Notice of Proposed Rulemaking (NOPR)

Pharmaceutical Industry

Proposed Regulation

Public Offerings

Registration Statement

Retail Investors

SEC Examination Priorities

Securities Traders

Shareholder Rights

Administrative Law Judge (ALJ)

Bankruptcy Court

Books & Records

Business Litigation

Capital Investments

Commodity Trading Advisors (CTAs)

Continuing Legal Education

Criminal Penalties

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Entire Fairness Standard

Environmental Policies

FEPA

Food and Drug Administration (FDA)

GAAP

Market Manipulation

MD&A Statements

New Legislation

NIST

Portfolio Companies

Proxy Advisory Firms

Regulatory Authority

Securities Dealers

Seventh Amendment

Statutory Violations

Summary Judgment

Sustainable Business Practices

Bankruptcy Code

Business Judgment Rule

Cease and Desist Orders

Compliance Dates

Derivatives Clearing Organizations

Employment Contract

Enforcement Priorities

Environmental Protection Agency (EPA)

Foreign Direct Investment

HKEx

Incident Response Plans

Investment Portfolios

Judicial Review

Non-GAAP Financial Measures

Ownership Interest

Political Contributions

Prohibited Transactions

Renewable Energy

Securities Exchanges

Securities Tokens

SFDR

Shareholder Activism

Shareholder Meetings

Administrative Stay

AIFM

Asset-Backed Securities

Chamber of Commerce

Closed-End Funds

Corporations Code

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

Executive Orders

FCPA Corporate Enforcement Policy (CEP)

Federal Contractors

Foreign Corporations

Foreign Entities

Hiring & Firing

Individual Retirement Account (IRA)

Information Reports

Innovative Technology

Merger Agreements

Motion to Dismiss

NAV

Personal Information

Policy Statement

Portfolio Managers

Protected Activity

Regulation Technical Standards (RTS)

Securitization Standards

Shareholder Votes

Stock Purchase Agreement

Stockholder Agreements

Sustainable Finance

Syndicated Loans

Trading Policies

XBRL Filing Requirements

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Taxes

Criminal Investigations

Customer Identification Program (CIP)

Cybersecurity Information Sharing Act (CISA)

Data Collection

Debt

Department of Energy (DOE)

Designated Contract Markets (DCMs)

Digital Wallets

Dispute Resolution

Early Stage Companies

Export Controls

FATF

Financial Instruments

Foreign Exchanges

Freeze-Out Mergers

General Data Protection Regulation (GDPR)

Incentive Compensation

Information Technology

Initial Coin Offering (ICOs)

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

Investment Products

ISDA

Know Your Customers

Law Enforcement

Limited Partnerships

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

Serious Fraud Office (SFO)

SRO

Terrorism Funding

Third-Party Risk

401k

Accounting Standards

Alternative Investment Funds

Anti-Fraud Provisions

Antitrust Provisions

British Columbia Securities Commission

British Columbia Securities Commission (BCSC)

Business Disputes

CEOs

Clearing Agencies

Commercial Litigation

Consumer Financial Protection Act (CFPA)

Corporate Financing

Corporate Sales Transactions

Credit Facilities

Critical Infrastructure Sectors

Data Management

Debt Collection

Debt Securities

Department of Defense (DOD)

Derivative Suit

Digital Securities

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Adviser

Financial Services and Markets Act

Foreign Issuers

Fourth Amendment

Fraudulent Transfers

FSMA

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Inflation Reduction Act (IRA)

Instant Messaging Apps

Insurance Industry

Legislative Agendas

Long-Term Investment Funds

Major Swap Participants

Multidistrict Litigation

Municipal Bonds

No-Action Letters

Non-Disclosure Agreement

OMB

Online Platforms

Pay-for-Performance

Predictive Analytics

Price Inflation

Private Right of Action

Public Meetings

Repurchase Agreements

Sanction Violations

Security-Based Swaps

Shareholder Approval

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

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CDIs

CFOs

Chevron Deference

Class Certification

Compliance Management Systems

Compliance Monitoring

Congressional Review Act

Consultation Papers

Corporate Entities

Corporate Management

Corporate Securities Act

Corporate Structures

CPOs

Criminal Conspiracy

Data Preservation

Declaratory Judgments

Department of Homeland Security (DHS)

Digital Platforms

Disciplinary Proceedings

EMIR

Energy Information Association (EIA)

Enforcement Authority

Enforcement Statistics

Entertainment Industry

Equal Protection

Equity Securities

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

Fees

Financial Regulatory Agencies

Financial Stability Board

FSOC

Government Investigations

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

Guidance Update

Indemnification

Information Governance

Internal Rate of Return (IRR)

London Stock Exchange

Majority Shareholders

Material Misstatements

Monetary Authority of Singapore

Money Services Business

Money Transmission Act

MSRB

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Primary Residence

Private Placements

Promissory Notes

Proposed Guidance

PTEs

Public Consultations

Public Disclosure

Regular Business Communications

Restricted Stocks

Reverse Mergers

Safeguards Rule

SAP America Inc.

SEC Comment Letter Process

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Securitization Market

Small and Medium-Sized Enterprises (SMEs)

Split of Authority

State and Local Government

Statutory Interpretation

Subscription Services

Tax Exempt Entities

Terrorist Financing

Third-Party Service Provider

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Wealth Management

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Affirmative Defenses

Aiding and Abetting

Alberta Securities Commission

Angel Investors

Anti-Terrorism Financing

Arbitrary and Capricious

Attorney General

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development

Business Development Companies

Business Valuations

Buy-Side Trading

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

CCA

Central Bank Digital Currency (CBDCs)

Change of Control

Chicago Mercantile Exchange (CME)

Collateralized Loan Obligations

Consumer Protection Laws

Continuing Education

Cooling-Off Rule

Corporate Charters

Corporate Culture

Corporate Executives

Corporate Liability

Corporate Restructuring

Counter-Terrorist

Covered Entities

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

EFTs

Electric Vehicles

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Parliament

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

FICC

Financial Reporting Council (FRC)

Foreign Currency

Foreign Official

Fraud and Abuse

General Corporation Law

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Hart-Scott-Rodino Act

HMRC

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

IFRS

Inflation Adjustments

Information Sharing

Injunctive Relief

Institutional Investment

Internal Investigations

Internal Reporting

International Capital Markets Association (ICMA)

International Tax Authority

Interstate Commerce

Investing Companies

Investment Fraud

Liquidity Management

Listed Company Manual

Lithium Batteries

Loan Origination Funds