Browse Related Topics For:

Disclosure Requirements Securities & Exchange Commission

267
Dodd-Frank
193
Executive Compensation
154
Regulation S-K
113
Compliance
113
Publicly-Traded Companies
109
Pay Ratio
100
Reporting Requirements
81
JOBS Act
80
Conflict Mineral Rules
77
Proposed Regulation
74
Securities Exchange Act
73
Corporate Governance
68
Enforcement Actions
67
CEOs
62
Proxy Statements
61
Investment Adviser
60
FINRA
58
Investors
57
Board of Directors
56
Emerging Growth Companies
49
Form 10-K
48
Resource Extraction
46
Broker-Dealer
46
Shareholders
44
Clawbacks
44
Crowdfunding
44
Cybersecurity
42
Comment Period
42
Final Rules
38
Municipal Bonds
38
Pay-for-Performance
37
Popular
36
Conflicts of Interest
36
First Amendment
36
Securities Act of 1933
36
Transparency
35
CFTC
35
Financial Statements
35
Fixing America’s Surface Transportation Act (FAST Act)
34
EU
34
Fiduciary Duty
32
Financial Institutions
31
Incentive Compensation
31
Nasdaq
31
Total Shareholder Return (TSR)
30
Sarbanes-Oxley
29
GAAP
29
MCDC
29
Municipalities
29
Mutual Funds
28
Investment Advisers Act of 1940
28
Oil & Gas
27
Form SD
27
Recordkeeping Requirements
27
Regulation D
27
Say-on-Pay
27
Underwriting
26
Filing Requirements
26
PCAOB
26
Risk Management
26
Securities
25
Directors
25
Median Employee
25
Municipal Securities Issuers
24
Accredited Investors
24
Audits
24
Financial Markets
24
Proposed Amendments
24
Social Media
23
Corporate Officers
23
Due Diligence
21
Corporate Counsel
21
Derivatives
21
Form ADV
21
IPO
21
Regulation S-X
21
Rule 506 Offerings
20
EDGAR
20
Enforcement
20
Hedging
20
Investment Company Act of 1940
20
Whistleblowers
19
Audit Committee
19
C&DIs
19
Exemptions
19
FCPA
19
Foreign Private Issuers
19
Investment Companies
19
Political Contributions
19
Public Comment
18
Compensation Committee
18
Financial Reporting
18
Investment Funds
18
Investment Management
18
ISS
18
Money Market Funds
18
MSRB
18
Proxy Season
18
Public Offerings
17
Annual Reports
17
ETFs
17
Internal Controls
17
Liquidity Risk Management Rule
17
Sanctions
17
Securities Fraud
16
DOJ
16
General Solicitation
16
Golden Leash Arrangements
16
Mary Jo White
16
New Regulations
16
Settlement
16
Startups
15
Data Protection
15
Funding Portal
15
NYSE
15
Rulemaking Process
15
Stocks
15
UK
14
Advertising
14
Appeals
14
Capital Raising
14
Data Privacy
14
Fees
14
Fraud
14
IFRS
14
Offerings
14
Private Equity
14
Regulation A
14
Self-Reporting
14
Shareholder Proposals
14
Wages
13
Auditors
13
Banks
13
Federal Reserve
13
Form 8-K
13
Initial Public Offerings
13
OCIE
13
Private Equity Funds
13
Rating Agencies
13
XBRL Filing Requirements
12
Administrative Procedure Act
12
CFPB
12
Class Action
12
Data Breach
12
DOL
12
FASB
12
Insider Trading
12
Investment
12
Listing Standards
12
Minerals
12
Mining
12
NAM
12
NAV
12
Registration Requirement
12
Registration Statement
12
Regulation FD
11
Amended Regulation
11
Asset-Backed Securities
11
FDIC
11
Financial Sector
11
Foreign Workers
11
Investor Protection
11
Iran Threat Reduction and Syria Human Rights Act
11
Municipal Securities Market
11
OCC
11
Private Placements
11
Proxy Voting Guidelines
11
Stress Tests
10
Banking Sector
10
Bonds
10
Cyber Attacks
10
Disclosure
10
EMMA
10
ERISA
10
FHFA
10
Form N-PORT
10
Municipal Advisers
10
Non-GAAP Financial Measures
10
Public Disclosure
10
Risk Assessment
10
SCOTUS
10
Small Business
9
Amnesty International
9
Canada
9
Capital Formation
9
Capital Markets
9
Chief Compliance Officers
9
Corporate Issuers
9
CPO
9
Debt Securities
9
Employees
9
European Securities and Markets Authority (ESMA)
9
Extractive Industry Transparency Rule
9
Hackers
9
Liquidity Fees
9
Mortgages
9
Natural Resources
9
New Guidance
9
Policies and Procedures
9
Regulation AB
9
Securities Act
9
Securities Litigation
9
Swing Pricing
8
American Petroleum Institute
8
Annual Filings
8
Bad Actors
8
Climate Change
8
Data Security
8
De Minimus Quantity Exemption
8
Diversity
8
En Banc Review
8
Equity Securities
8
Form N-Cen
8
FSOC
8
Golden Parachutes
8
Manufacturers
8
Proposed Legislation
8
Redemption Gates
8
Rule 10b-5
8
Securities Violations
8
Supply Chain
7
Annual Meeting
7
Blue Sky Laws
7
Corporate Social Responsibility
7
Cost-of-Living
7
Director Compensation
7
Disgorgement
7
European Commission
7
Facebook
7
Federal Register
7
Glass Lewis
7
Hedge Funds
7
Misleading Statements
7
NRSRO
7
Oxfam America
7
Pending Legislation
7
Private Offerings
7
Registered Investment Advisors
7
Registration
7
Retirement Plan
7
RMBS
7
Rule 10D-1
7
Rule 144A
7
Rule 147
7
Schedule 13D
7
Shareholder Activism
7
Smaller Reporting Companies
7
Strategic Enforcement Plan
7
Swaps
7
Threshold Requirements
7
Websites
7
Whistleblower Protection Policies
7
Young Lawyers
6
American Meat Institute
6
Asset Management
6
CD&A
6
Cease and Desist
6
Cease and Desist Orders
6
China
6
Civil Monetary Penalty
6
Compensation Agreements
6
EBITDA
6
Exchange-Traded Products
6
False Claims Act (FCA)
6
False Statements
6
Financial Services Industry
6
FinCEN
6
Form D Filing
6
Fund Managers
6
Government Investigations
6
Institutional Investors
6
Investigations
6
Investment Portfolios
6
Item 402
6
Liquidity
6
Material Misstatements
6
Material Nonpublic Information
6
Mergers
6
Mineral Extraction
6
Netflix
6
No-Action Letters
6
Pay-To-Play
6
Penalties
6
Preemption
6
Proxy Access Rule
6
Proxy Advisors
6
Rule 506(c)
6
Securities Exchanges
6
Structured Financial Products
6
Sustainability
6
Umbrella Registration
5
Administrative Proceedings
5
Books & Records
5
Brokers
5
Country of Origin
5
CTA
5
Deadlines
5
EMIR
5
Financial Conduct Authority (FCA)
5
Floating NAV
5
FTC
5
GAO
5
Going-Private Transactions
5
Hong Kong
5
Human Rights
5
Hyperlink
5
Information Sharing
5
Investment Banks
5
IRS
5
Look-Back Measurement Period
5
Material Disclosures
5
Mineral Exploration
5
Misrepresentation
5
NAM v SEC
5
National Association of Manufacturers
5
Natural Gas
5
Neither Admit Nor Deny Settlements
5
Omissions
5
OTC
5
Pensions
5
Privacy Laws
5
Prospectus
5
Proxy Access
5
Referendums
5
Section 10D
5
Statistical Sampling
5
Stock Exchange
5
Subsidiaries
5
Tandy Letter
5
Tier 2 Offerings
5
Title III
5
Twitter
5
UK Brexit
4
Acquisitions
4
AIFMD
4
Anti-Corruption
4
Anti-Retaliation Provisions
4
Asset Diversification
4
Attorney Generals
4
Beneficial Owner
4
Bitcoin
4
Breach Notification Rule
4
Breach of Duty
4
BrokerCheck
4
CDIs
4
Chamber of Commerce
4
Consumer Financial Products
4
Corp Fin
4
Cyber Threats
4
Dark Pool
4
Data Collection
4
Debt
4
Debtors
4
Director Nominations
4
Dismissals
4
EB-5
4
Employee Benefits
4
Employer Liability Issues
4
Equity Compensation
4
Excessive Fees
4
Failure To Disclose
4
Financial Crisis
4
Foreign Corporations
4
Form 10-Q
4
Guidance Update
4
Hiring & Firing
4
ICFR
4
Indemnification
4
Insurance Industry
4
Interim Rule
4
Intermediaries
4
Internal Investigations
4
Iran Sanctions
4
Issuer Eligibility Criteria
4
Margin Requirements
4
Materiality
4
NCUA
4
NFA
4
Part-Time Employees
4
Petition For Rehearing
4
Pharmaceutical Industry
4
Privacy Policy
4
Private Funds
4
RAUM
4
Registered Investment Companies (RICs)
4
Regulation C
4
Regulatory Standards
4
RTS
4
Rule 22e-4
4
Rule 506
4
Safe Harbors
4
SASB
4
Scienter
4
Seasonal Workers
4
Secondary Markets
4
Section 1504
4
Shareholder Litigation
4
SMAs
4
Social Media Policy
4
Sunshine Act
4
Swap Dealers
4
Tax-Exempt Bonds
4
Temporary Employees
4
Trade Secrets
4
Virtual Currency
4
Whistleblower Awards
3
Accounting Standards
3
Affiliates
3
Algorithmic Trading
3
Anti-Bribery
3
Anti-Money Laundering
3
Bank of America
3
Best Practices
3
Borrowers
3
Broken Windows
3
Business Continuity Plans
3
Bylaws
3
C-Suite Executives
3
Campaign Contributions
3
Compelled Speech
3
Compensation Consultant
3
Confidential Information
3
Confidentiality Agreements
3
Congressional Investigations & Hearings
3
Controlling Stockholders
3
Corporate Executives
3
Corporate Financing
3
Corruption
3
CRIRSCO
3
Cross-Border
3
Cross-Border Transactions
3
Cyber Crimes
3
Cyber Insurance
3
DBRS
3
Democratic Republic of Congo
3
Derivative Suit
3
Disqualification
3
DOE
3
Duty of Care
3
EBA
3
EEOC
3
Energy Sector
3
Executive Orders
3
Exxon Mobil
3
Fannie Mae
3
FATCA
3
FDA
3
Fee Disclosure
3
Fee-Shifting
3
Fiduciary Rule
3
Financial Accounting Standards Board
3
Fines
3
Fixed Income Investments
3
Foreign Banks
3
Foreign Issuers
3
Foreign Jurisdictions
3
Form N-SAR
3
Free Speech
3
Full-Time Employees
3
Goldman Sachs
3
Harmonization Rules
3
Healthcare
3
Human Trafficking
3
Incentive Stock Options
3
Independent Contractors
3
Internal Revenue Code (IRC)
3
IPSA
3
Item 402(b)
3
JPMorgan Chase
3
Limited Liability Company (LLC)
3
Loss Contingencies
3
Market Manipulation
3
Misappropriation
3
Moody's
3
Morgan Stanley
3
Multinationals
3
NASD
3
National Futures Association
3
NIST
3
OFAC
3
Offering Documents
3
Offering Fraud
3
Offering Statements
3
Privately Held Corporations
3
Proxy Contests
3
Public Employees
3
Public Policy
3
Puerto Rico
3
Real Estate Market
3
Reasonable Care
3
Registered Funds
3
Regulation S
3
Regulation S-P
3
Regulatory Agenda
3
Regulatory Oversight
3
Repurchases
3
Risk Alert
3
Risk Mitigation
3
Rule G-42
3
Section 162(m)
3
Securitization
3
Security-Based Swaps
3
Share Classes
3
Shareholder Votes
3
SIFIs
3
State and Local Government
3
Statute of Limitations
3
Stock Options
3
Student Loans
3
Subpoenas
3
Sustainable Business Practices
3
Trading Platforms
3
Transacting Intrastate Business
3
U.S. Commerce Department
3
UCITS
3
Unregistered Securities
3
Valuation
3
Volcker Rule
3
Wells Notice
3
Zauderer
2
10b5-1 Plans
2
529 Plans
2
ABS
2
Accounting Controls
2
Activist Hedge Funds
2
Advanced Notice of Proposed Rulemaking (ANPRM)
2
Africa
2
Alternative Mutual Funds
2
Alternative Trading Systems
2
American Bar Association (ABA)
2
Arbitration
2
Asset Valuations
2
Australia
2
Bank Fraud
2
Bank of England
2
Bank Secrecy Act
2
Best Interest Contract Exemptions
2
Big Data
2
BlackRock
2
Breach of Contract
2
Bribery
2
BSA/AML
2
Business Development
2
Business Judgment Rule
2
CACM
2
CalPERS
2
Campaign Spending Limits
2
CCPs
2
CFOs
2
Charter Schools
2
Chevron Deference
2
Citigroup
2
Citizens United
2
Class Certification
2
Cloud Computing
2
CME
2
COLA
2
Commercial Speech
2
Commodities Exchange Act
2
Commodity Pool
2
Compensation & Benefits
2
Consumer Lenders
2
Controlled Foreign Corporations
2
Corporate Contributions
2
Corporate Fraud
2
Corporate Sales Transactions
2
Covenant of Good Faith and Fair Dealing
2
Credit Rating Agencies
2
Credit Ratings
2
Criminal Background Checks
2
Custodians
2
Debt Financing
2
Delaware General Corporation Law
2
Delisting
2
Department of Agriculture
2
Derivatives Clearing Organizations
2
Deutsche Bank
2
Discrimination
2
Distribution Rules
2
Division of Investment Management
2
DSIO
2
Early Stage Companies
2
Earnings Reports
2
ECPA
2
EGCs
2
Elder Issues
2
Election Related Expenditures
2
Electronic Communications
2
Elizabeth Warren
2
Energy
2
Energy & Climate Debates
2
Equity Research Rule
2
Examination Priorities
2
Expedited Actions Process
2
Exploitation
2
Exports
2
Facilitation Payments
2
Failure to Notify
2
FBI
2
FCC
2
FCMs
2
Federal Election Commission (FEC)
2
FFIEC
2
Final Guidance
2
Financial Regulatory Reform
2
Financing
2
Finders
2
Fitch
2
FOIA
2
Forced Labor
2
Foreclosure
2
Foreign Exchanges
2
Foreign Investment
2
Foreign Nationals
2
Foreign Official
2
Foreign Policy
2
Form S-8
2
Fortune 500
2
Forward Contracts
2
Fraud-on-the-Market
2
Freddie Mac
2
Fund Expenses
2
Funding
2
Gender Equity
2
Generic
2
Gramm-Leach-Blilely Act
2
HMDA
2
Identity Theft
2
Incentive Based Contracts
2
Incident Response Plans
2
Independence Rules
2
Internet
2
Investor Advisory Committee
2
Janus Capital Group
2
Japan
2
Jurisdiction
2
KBR (formerly Kellogg Brown & Root)
2
Legacy Funds
2
Legislative Committees
2
Lehman Brothers
2
Lenders
2
Limited Partnerships
2
Listing Rules
2
Lobbying
2
Loss Causation
2
M&A Brokers
2
Market Conditions
2
Market Participants
2
Marketing
2
Member State
2
Merrill Lynch
2
Microsoft
2
MiFID
2
Money Laundering
2
Mortgage Lenders
2
Municipal Bankruptcy
2
NDAA
2
Negligence
2
New Amendments
2
New Legislation
2
Nominee Directors
2
Non-US Entities
2
NPRM
2
OECD
2
Open-Ended Fund Companies (OFCs)
2
Partnerships
2
Payroll Records
2
Peabody Energy
2
Pleading Standards
2
Policy Violations
2
Political Campaigns
2
Pricing
2
Privacy Concerns
2
Private Company Shares
2
Private Equity Firms
2
Product Labels
2
Proxy Solicitations
2
Public Finance
2
Public Schools
2
Qualified Institutional Buyers
2
Qualified Purchaser
2
Qui Tam
2
Rebuttable Presumptions
2
Recess Appointments
2
Red Flags Rule
2
Regulation G
2
Regulation SHO
2
Remuneration
2
Required Forms
2
Resale Exemption
2
Retail Investors
2
Retirement
2
Revenue Recognition Standard
2
RICs
2
Right to Privacy
2
Risk Retention
2
Royalties
2
Rule 21F
2
Rule 2210
2
Rule G-37
2
Sales Load Variations
2
SEC Advisory Committee
2
SEC Comment Letter Process
2
Section 10(b)
2
Section 14(j)
2
Section 16
2
Securities Regulation
2
Securitization Vehicles
2
Separately Managed Accounts (SMA)
2
Serious Fraud Office
2
Settlement Agreements
2
Share Redemption
2
Shareholder Meetings
2
SIFMA
2
Small Entity Compliance Guide
2
Social Media Account Ownership
2
Social Networks
2
Standards & Procedures
2
Standing
2
Statement of Facts
2
Stock Appreciation Rights
2
Stock Float
2
Structured Finance
2
Successor Liability
2
Summary Judgment
2
Suppliers
2
Surveys
2
Target
2
Tax Returns
2
TRACE
2
Training
2
Transparency Directive
2
Transparency in Supply Chains Act
2
Uber
2
USCIS
2
Vesting
2
Voluntary Disclosure
2
Warrants
2
Wash Trades
2
Whole Foods
1
12b-1 plan
1
Accounting
1
Accounting Fraud
1
Accrual Requirements
1
Acquisition Agreements
1
Activist Investors
1
Actual or Constructive Knowledge
1
Administrative Appointments
1
Administrative Hearings
1
Adobe
1
Advisory Committee
1
Advisory Contracts
1
Affirmative Defense
1
Affordable Care Act
1
Aggregation Rules
1
AICPA
1
Aiding and Abetting
1
AIG
1
Algorithms
1
Alien Tort Statute
1
ALJ
1
Allocation of Funds
1
Allstate
1
Alternative Investment Funds
1
Amended Rules
1
Amicus Briefs
1
AML-CTF
1
Amortization
1
Angel Investors
1
Anthem Blue Cross
1
Anti-Kickback Statute
1
Apple
1
Appraisal
1
Appraisal Rights
1
Arbitrage
1
Asset Class
1
Assignments
1
Audit Policies
1
Audited Financial Statements
1
Auto Body Shop
1
Automotive Industry
1
Automotive Loans
1
AXA Equitable Life
1
Background Checks
1
Bailout
1
Ballots
1
Ban the Box
1
Bank Accounts
1
Bank Holding Company
1
Bank of New York (BNY) Mellon
1
Banking Regulators
1
Barclays
1
Barnes and Noble
1
Basel Committee
1
BATS Exchange
1
BE-180
1
BEA
1
Benchmarks
1
Benefit Corporations
1
Benefit Plan Sponsors
1
Big-Boy Letters
1
Binary Options
1
Board of Trustees
1
Bond Financing
1
Bond Markets
1
British Bankers' Association
1
Business Assets
1
Business Conduct Standards
1
Business Model
1
Business Valuations
1
CalSTRS
1
Campaign Finance Reform
1
Cancellation Rights
1
Capital Contributions
1
Capital Requirements
1
CARDS
1
Carve Out Provisions
1
CBOE
1
CCO
1
CD&I
1
Cease and Desist Order
1
Census
1
Charles Schwab
1
Check the Box Rules
1
Chipotle Grill
1
CID
1
Class Action Arbitration Waivers
1
Clean Power Plan
1
CMOs
1
CNIL
1
Co-Investment Rights
1
Coal Industry
1
COBRA
1
Collateralized Loan Obligations
1
Colleges
1
Commercial Bankruptcy
1
Commercial Marketing
1
Committee Meetings
1
Commodities
1
Commodity Interest
1
Commonwealth of Puerto Rico v Franklin California Tax-Free Trust
1
Compensatory Damages
1
Compliance Dates
1
Comptroller
1
Conditional Job Offers
1
Confidential Communications
1
Congressional Committees
1
Congressional Review Act
1
Consent
1
Conspiracies
1
Constitutional Challenges
1
Consumer Complaint System
1
Consumer Financial Contracts
1
Consumer Reports
1
Cooperation
1
Cooperation Agreement
1
Cooperation Initiative
1
Cooperative Compliance Regime
1
Corporate Bonds
1
Corporate Financing Rule
1
Corporate Fines
1
Corporate Taxes
1
Corporate Veil
1
Corrective Actions
1
COSO
1
Cost Recovery
1
Costco
1
Counterparties
1
Counterparty Risk
1
Covered Bonds
1
Covered Entities
1
CPOs
1
CRA
1
Credit Card Agreements
1
Credit Cards
1
Credit Default Swaps
1
Credit Reports
1
Criminal Code
1
Criminal Prosecution
1
Crisis Management
1
Critical Infrastructure Sectors
1
CT Supreme Court
1
Cuba
1
Currency Fluctuation
1
Currency Transaction Reports (CTR)
1
Custody Rule
1
Customer Due Diligence (CDD)
1
Customer Service Standard
1
Cyber Incident Reporting
1
Cybersecurity Framework
1
Damages
1
Data Loss Prevention
1
David Cameron
1
DE Supreme Court
1
De-Risking
1
Debit Cards
1
Debt Collection
1
Debt Collectors
1
Debt Enforcement & Recovery Act (DERA)
1
Default
1
Deferred Prosecution Agreements
1
Defined Benefit Plans
1
Defined Contribution Plans
1
Dell
1
Demand Futility
1
Department of Financial Services
1
Detroit
1
DHS
1
Dilution
1
Director Removal
1
Disclosure-Based Settlements
1
Discounts
1
Disparate Impact
1
Distributors
1
Diversity and Inclusion Standards (D&I)
1
Division of Corporate Finance
1
Documentation
1
DOMA
1
Donald Trump
1
DPPs
1
Duty of Loyalty
1
Duty to Disclose
1
Ecuador
1
Educational Communications Rule
1
EFTs
1
EGRPRA
1
Elder Abuse
1
Electronic Data Transmissions
1
Electronic Spiders
1
Email
1
Emerging Technology Companies
1
Employee Rights
1
Employee Training
1
Employee-Ownership
1
Employment Policies
1
Employment Rights Act
1
Energy Efficiency
1
Energy Policy Modernization Act of 2015
1
Enforcement Guidance
1
Enforcement Statistics
1
Engagement Letters
1
Enterprise and Regulatory Reform Act
1
Entire Fairness Standard
1
Entrepreneurs
1
Environmental Assessments
1
EPA
1
Equity Financing
1
Equity Plans
1
Equity Swaps
1
Ernst & Young
1
Escheat
1
Estoppel
1
Ethics
1
Ethics Breach
1
ETNs
1
EU Data Protection Laws
1
EU Directive
1
European Central Bank
1
European Court of Justice (ECJ)
1
European Supervisory Authorities (ESAs)
1
European Union Delegated Act (EUDA)
1
Evidence
1
Evidentiary Hearings
1
Exclusions
1
Exclusive Forum
1
Exempt-Employees
1
Exemptive Orders
1
Export Controls
1
Extraterritoriality Rules
1
Failure-to-File
1
Fair and Effective Markets Review (FEMR)
1
Fair Chance Act
1
Fair Housing Act (FHA)
1
Fair Work Act
1
False Advertising
1
FCRA
1
FDCPA
1
Federal Acquisition Regulations (FAR)
1
Federal Contractors
1
Federal Pilot Programs
1
Federal Trade Commission Act
1
FERC
1
FICC
1
Filing Deadlines
1
Filing Fees
1
Financial Adviser
1
Financial Analysts
1
Financial Contracts
1
Financial Holding Company
1
Financial Products
1
Financial Restatements
1
Fitbit
1
Flood Insurance
1
Flood Zones
1
Foreign Affiliates
1
Foreign Correspondent Banking
1
Foreign Entities
1
Foreign Governments
1
Forfeiture
1
Form BE-10