Browse Related Topics For:

Disclosure Requirements Securities & Exchange Commission

231
Dodd-Frank
169
Executive Compensation
115
Compliance
98
Regulation S-K
97
Pay Ratio
86
Publicly-Traded Companies
85
Reporting Requirements
78
JOBS Act
72
Conflict Mineral Rules
68
Proposed Regulation
65
CEOs
60
Securities Exchange Act
54
Corporate Governance
53
Enforcement Actions
51
Emerging Growth Companies
51
Proxy Statements
49
Investors
48
FINRA
44
Board of Directors
43
Investment Adviser
42
Clawbacks
41
Crowdfunding
40
Final Rules
40
Shareholders
38
Broker-Dealer
38
Cybersecurity
37
Pay-for-Performance
35
First Amendment
33
Securities Act of 1933
32
CFTC
32
Comment Period
32
Form 10-K
31
Financial Statements
31
Total Shareholder Return (TSR)
30
Municipal Bonds
30
Resource Extraction
30
Transparency
29
Incentive Compensation
28
Fiduciary Duty
27
Popular
27
Regulation D
26
Municipalities
26
Sarbanes-Oxley
25
Financial Institutions
25
Say-on-Pay
25
Underwriting
24
Accredited Investors
24
Conflicts of Interest
24
MCDC
24
Social Media
23
EU
23
Form SD
23
Median Employee
21
Due Diligence
21
IPO
21
Municipal Securities Issuers
20
Corporate Officers
20
Enforcement
20
Mutual Funds
20
Oil & Gas
20
Recordkeeping Requirements
20
Rule 506 Offerings
19
Hedging
19
Risk Management
19
Securities
18
Audits
18
Compensation Committee
18
Exemptions
18
Investment Company Act of 1940
18
Money Market Funds
18
Public Offerings
17
Directors
17
Foreign Private Issuers
17
General Solicitation
17
Nasdaq
17
PCAOB
17
Political Contributions
17
Whistleblowers
16
FCPA
16
Fixing America’s Surface Transportation Act (FAST Act)
16
Regulation A
15
Audit Committee
15
Data Protection
15
Filing Requirements
15
Funding Portal
15
Investment Funds
15
Sanctions
14
Annual Reports
14
Data Privacy
14
DOJ
14
Financial Reporting
14
Investment Management
14
ISS
14
Mary Jo White
14
NYSE
14
Offerings
14
Proxy Season
14
Rulemaking Process
14
Self-Reporting
14
Startups
14
Wages
13
Advertising
13
Asset-Backed Securities
13
Capital Raising
13
Corporate Counsel
13
Derivatives
13
Internal Controls
13
Investment Companies
13
NAV
13
Securities Fraud
12
Class Action
12
Data Breach
12
EDGAR
12
GAAP
12
Initial Public Offerings
12
Investment Advisers Act of 1940
12
Iran Threat Reduction and Syria Human Rights Act
12
MSRB
12
NAM
12
Regulation FD
11
Administrative Procedure Act
11
Appeals
11
ETFs
11
Fees
11
Foreign Workers
11
Fraud
11
Insider Trading
11
New Regulations
11
Private Placements
11
Proposed Amendments
11
Public Comment
11
Regulation S-X
11
Settlement
11
Shareholder Proposals
11
Stocks
11
Stress Tests
10
Banks
10
CPO
10
Disclosure
10
Employees
10
Federal Reserve
10
Form 8-K
10
Investor Protection
10
Liquidity Fees
10
Liquidity Risk Management Rule
10
Listing Standards
10
Municipal Advisers
10
Private Equity Funds
10
Risk Assessment
9
Amnesty International
9
Auditors
9
CFPB
9
Cyber Attacks
9
Debt Securities
9
Financial Markets
9
Form ADV
9
Private Equity
9
Rating Agencies
9
Regulation AB
9
SCOTUS
9
UK
8
Amended Regulation
8
Bad Actors
8
Banking Sector
8
Blue Sky Laws
8
Capital Formation
8
Chief Compliance Officers
8
Corporate Issuers
8
Data Security
8
EMMA
8
En Banc Review
8
Equity Securities
8
ESMA
8
FHFA
8
Golden Parachutes
8
Investment
8
Municipal Securities Market
8
NRSRO
8
OCIE
8
Private Offerings
8
Public Disclosure
8
Redemption Gates
8
Registration Requirement
8
Rule 10D-1
8
Strategic Enforcement Plan
7
Annual Filings
7
Bonds
7
Brokers
7
Capital Markets
7
Cost-of-Living
7
De Minimus Quantity Exemption
7
FDIC
7
Federal Register
7
Investigations
7
Minerals
7
Misleading Statements
7
Mortgages
7
OCC
7
Proxy Voting Guidelines
7
Registration
7
Registration Statement
7
RMBS
7
Rule 10b-5
7
Rule 144A
7
Rule 506(c)
7
Securities Act
7
Securities Litigation
7
Small Business
7
Websites
7
Whistleblower Protection Policies
7
XBRL Filing Requirements
7
Young Lawyers
6
American Meat Institute
6
Canada
6
CD&A
6
Cease and Desist
6
China
6
Disgorgement
6
DOL
6
ERISA
6
Exchange-Traded Products
6
Extractive Industry Transparency Rule
6
Facebook
6
Floating NAV
6
Form D Filing
6
FSOC
6
Fund Managers
6
Hackers
6
Hedge Funds
6
Institutional Investors
6
IRS
6
Look-Back Measurement Period
6
Manufacturers
6
Material Nonpublic Information
6
Natural Resources
6
Netflix
6
Penalties
6
Pending Legislation
6
Policies and Procedures
6
Swaps
6
Swing Pricing
5
American Petroleum Institute
5
Annual Meeting
5
Asset Management
5
Civil Monetary Penalty
5
Climate Change
5
CTA
5
Dark Pool
5
Deadlines
5
Employer Liability Issues
5
False Statements
5
FASB
5
Financial Conduct Authority (FCA)
5
FinCEN
5
Form N-Cen
5
Form N-PORT
5
FTC
5
Investment Portfolios
5
Iran Sanctions
5
Item 402
5
Material Disclosures
5
Material Misstatements
5
Mining
5
Misrepresentation
5
NAM v SEC
5
National Association of Manufacturers
5
Neither Admit Nor Deny Settlements
5
New Guidance
5
No-Action Letters
5
Pay-To-Play
5
Pensions
5
Preemption
5
Privacy Laws
5
Proposed Legislation
5
Prospectus
5
Proxy Access Rule
5
Retirement Plan
5
Rule 147
5
Secondary Markets
5
Section 10D
5
Securities Exchanges
5
Shareholder Activism
5
Statistical Sampling
5
Structured Financial Products
5
Subsidiaries
5
Supply Chain
5
Tier 2 Offerings
5
Title III
5
Twitter
4
Affiliates
4
AIFMD
4
Anti-Money Laundering
4
Anti-Retaliation Provisions
4
Asset Diversification
4
Breach Notification Rule
4
Breach of Duty
4
Broken Windows
4
BrokerCheck
4
C&DIs
4
C-Suite Executives
4
Chamber of Commerce
4
Corporate Social Responsibility
4
Country of Origin
4
Cyber Threats
4
Dismissals
4
Diversity
4
EB-5
4
Equity Compensation
4
European Commission
4
False Claims Act (FCA)
4
Financial Crisis
4
Going-Private Transactions
4
Government Investigations
4
Hong Kong
4
Indemnification
4
Information Sharing
4
Intermediaries
4
Investment Banks
4
Issuer Eligibility Criteria
4
Liquidity
4
Margin Requirements
4
Mergers
4
Natural Gas
4
NFA
4
Omissions
4
OTC
4
Oxfam America
4
Part-Time Employees
4
Petition For Rehearing
4
Privacy Policy
4
Privately Held Corporations
4
Proxy Advisors
4
Registered Investment Advisors
4
Regulatory Standards
4
Rule 506
4
Safe Harbors
4
Scienter
4
Seasonal Workers
4
Shareholder Litigation
4
Sunshine Act
4
Temporary Employees
4
Virtual Currency
4
Whistleblower Awards
3
Anti-Corruption
3
Bank of America
3
Bitcoin
3
Bylaws
3
Campaign Contributions
3
Compelled Speech
3
Compensation Consultant
3
Confidential Information
3
Controlling Stockholders
3
Cross-Border
3
Cyber Crimes
3
Cyber Insurance
3
Data Collection
3
Debt
3
Debtors
3
Derivative Suit
3
Disqualification
3
Division of Investment Management
3
DOE
3
EBITDA
3
EEOC
3
EMIR
3
Energy Sector
3
Exxon Mobil
3
FATCA
3
FDA
3
Fee-Shifting
3
Fixed Income Investments
3
Foreign Banks
3
Foreign Corporations
3
Foreign Investment
3
Free Speech
3
Full-Time Employees
3
Glass Lewis
3
Harmonization Rules
3
Healthcare
3
Hiring & Firing
3
Human Rights
3
Incentive Stock Options
3
Insurance Industry
3
Internal Investigations
3
Internal Revenue Code (IRC)
3
IPSA
3
Item 402(b)
3
JPMorgan Chase
3
Market Manipulation
3
Mineral Extraction
3
Misappropriation
3
Multinationals
3
NASD
3
NCUA
3
New Amendments
3
NIST
3
OFAC
3
Offering Documents
3
Offering Statements
3
Pharmaceutical Industry
3
Private Funds
3
Puerto Rico
3
Real Estate Market
3
Reasonable Care
3
Registered Funds
3
Regulation S
3
Regulation S-P
3
Regulatory Agenda
3
Schedule 13D
3
SEC Advisory Committee
3
Section 1504
3
Section 162(m)
3
Securitization
3
Settlements
3
Shareholder Votes
3
Social Media Policy
3
Statute of Limitations
3
Stock Exchange
3
Stock Options
3
Tax-Exempt Bonds
3
Trade Secrets
3
Unregistered Securities
3
Wells Notice
3
Zauderer
2
10b5-1 Plans
2
ABS
2
Accounting Controls
2
Acquisitions
2
Administrative Proceedings
2
Africa
2
Algorithmic Trading
2
Alternative Investment Funds
2
Alternative Mutual Funds
2
Alternative Trading Systems
2
American Bar Association (ABA)
2
Anti-Bribery
2
Arbitration
2
Asset Valuations
2
Attorney Generals
2
Australia
2
Bank Fraud
2
Bank of England
2
Bank Secrecy Act
2
Beneficial Owner
2
Big Data
2
BlackRock
2
Borrowers
2
Breach of Contract
2
Business Development
2
Business Judgment Rule
2
Campaign Spending Limits
2
Cease and Desist Orders
2
CFOs
2
Citigroup
2
Citizens United
2
Class Certification
2
Cloud Computing
2
CME
2
COLA
2
Commercial Speech
2
Commodity Pool
2
Compensation & Benefits
2
Compensation Agreements
2
Confidentiality Agreements
2
Congressional Investigations & Hearings
2
Consumer Financial Products
2
Consumer Lenders
2
Controlled Foreign Corporations
2
Corp Fin
2
Corporate Contributions
2
Corporate Executives
2
Corporate Fraud
2
Corporate Sales Transactions
2
COSO
2
Covenant of Good Faith and Fair Dealing
2
Covered Entities
2
Credit Rating Agencies
2
Credit Ratings
2
Criminal Background Checks
2
Cross-Border Transactions
2
Debt Financing
2
Delisting
2
Democratic Republic of Congo
2
Department of Agriculture
2
Derivatives Clearing Organizations
2
Deutsche Bank
2
Director Compensation
2
Discrimination
2
DSIO
2
Duty of Care
2
Early Stage Companies
2
EBA
2
ECPA
2
EGCs
2
Election Related Expenditures
2
Electronic Communications
2
Employee Benefits
2
Energy
2
Equity Financing
2
Equity Research Rule
2
Executive Orders
2
Expedited Actions Process
2
Failure To Disclose
2
Failure to Notify
2
Fannie Mae
2
FCMs
2
Federal Election Commission (FEC)
2
FFIEC
2
Final Guidance
2
Financial Accounting Standards Board
2
Financial Regulatory Reform
2
Financial Restatements
2
Finders
2
Fines
2
Foreclosure
2
Foreign Exchanges
2
Foreign Jurisdictions
2
Foreign Nationals
2
Foreign Official
2
Form N-SAR
2
Fortune 500
2
Forward Contracts
2
Fraud-on-the-Market
2
Funding
2
GAO
2
Gender Equity
2
Generic
2
Goldman Sachs
2
Gramm-Leach-Blilely Act
2
HMDA
2
Human Trafficking
2
Identity Theft
2
Incentive Based Contracts
2
Independence Rules
2
Independent Contractors
2
Internet
2
Janus Capital Group
2
Japan
2
Legacy Funds
2
Lehman Brothers
2
Lenders
2
Listing Rules
2
Loss Contingencies
2
M&A Brokers
2
Market Conditions
2
Market Participants
2
Marketing
2
Materiality
2
Money Laundering
2
Morgan Stanley
2
Mortgage Lenders
2
National Futures Association
2
NDAA
2
New Legislation
2
Nominee Directors
2
Non-GAAP Financial Measures
2
Non-US Entities
2
NPRM
2
OECD
2
Offering Fraud
2
Payroll Records
2
Peabody Energy
2
Pleading Standards
2
Policy Violations
2
Political Campaigns
2
Pricing
2
Private Company Shares
2
Proxy Access
2
Proxy Contests
2
Proxy Solicitations
2
Prudential Regulation Authority
2
Public Employees
2
Public Schools
2
Qualified Institutional Buyers
2
Qualified Purchaser
2
Rebuttable Presumptions
2
Red Flags Rule
2
Regulation C
2
Regulation SHO
2
Repurchases
2
Resale Exemption
2
Retirement
2
Revenue Recognition Standard
2
RICs
2
Right to Privacy
2
Risk Alert
2
Risk Mitigation
2
Risk Retention
2
Rule G-42
2
Section 10(b)
2
Section 14(j)
2
Section 16
2
Securities Regulation
2
Securities Violations
2
Securitization Vehicles
2
Security-Based Swaps
2
Self-Dealing
2
Serious Fraud Office
2
Settlement Agreements
2
Share Redemption
2
Small Offering Exemptions
2
Social Networks
2
Standard of Review
2
Standing
2
State and Local Government
2
Statement of Facts
2
Stock Appreciation Rights
2
Structured Finance
2
Subpoenas
2
Successor Liability
2
Summary Judgment
2
Suppliers
2
Surveys
2
Sustainable Business Practices
2
Swap Dealers
2
Target
2
Tax Returns
2
TRACE
2
Trading Platforms
2
Training
2
Transacting Intrastate Business
2
U.S. Commerce Department
2
U.S. Treasury
2
UCITS
2
Umbrella Registration
2
USCIS
2
Valuation
2
Venture Capital
2
Vesting
2
Volcker Rule
2
Voluntary Disclosure
2
Warrants
2
Wash Trades
2
Whole Foods
1
12b-1 plan
1
Accounting
1
Accounting Fraud
1
Accounting Standards
1
Accrual Requirements
1
Acquisition Agreements
1
Actual or Constructive Knowledge
1
Administrative Hearings
1
Adobe
1
Advanced Notice of Proposed Rulemaking (ANPRM)
1
Advisory Contracts
1
Affordable Care Act
1
Aggregation Rules
1
AICPA
1
Aiding and Abetting
1
AIG
1
ALJ
1
Allocation of Funds
1
Allstate
1
Amicus Briefs
1
AML/CFT
1
Amortization
1
Angel Investors
1
Anthem Blue Cross
1
Anti-Kickback Statute
1
Apple
1
Appraisal Rights
1
Arbitrage
1
Assignments
1
Audit Policies
1
Audited Financial Statements
1
Auto Body Shop
1
Automotive Industry
1
Automotive Loans
1
Background Checks
1
Bailout
1
Ballots
1
Ban the Box
1
Bank Holding Company
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
Best Practices
1
Big-Boy Letters
1
Binary Options
1
Board of Trustees
1
Bond Financing
1
Books & Records
1
British Bankers' Association
1
BSA/AML
1
Business Assets
1
Business Valuations
1
CalPERS
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
Charter Schools
1
Check the Box Rules
1
Chevron Deference
1
CID
1
Class Action Arbitration Waivers
1
Clean Power Plan
1
CMOs
1
CNIL
1
Coal Industry
1
COBRA
1
Collateralized Loan Obligations
1
Colleges
1
Commercial Bankruptcy
1
Commercial Marketing
1
Commodities
1
Commodities Exchange Act
1
Commodity Interest
1
Compensatory Damages
1
Comptroller
1
Conditional Job Offers
1
Confidential Communications
1
Consent
1
Conspiracies
1
Consumer Complaint System
1
Consumer Reports
1
Cooperation
1
Cooperation Initiative
1
Corporate Financing
1
Corporate Financing Rule
1
Corporate Fines
1
Corporate Taxes
1
Corporate Veil
1
Corruption
1
Cost Recovery
1
Costco
1
Counterparty Risk
1
Covered Bonds
1
CPOs
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 Transaction Reports (CTR)
1
Custody Rule
1
Cyber Incident Reporting
1
Cybersecurity Framework
1
Damages
1
Data Loss Prevention
1
DBRS
1
De-Risking
1
Debit Cards
1
Debt Collection
1
Debt Collectors
1
Deferred Prosecution Agreements
1
Defined Benefit Plans
1
Defined Contribution Plans
1
Delaware General Corporation Law
1
Demand Futility
1
Detroit
1
DHS
1
Dilution
1
Director Removal
1
Disparate Impact
1
Distribution Rules
1
Diversity and Inclusion Standards (D&I)
1
Documentation
1
DOMA
1
DPPs
1
Duty of Loyalty
1
Duty to Disclose
1
Ecuador
1
EFTs
1
EGRPRA
1
Elder Abuse
1
Elder Issues
1
Electronic Data Transmissions
1
Electronic Spiders
1
Elizabeth Warren
1
Email
1
Emerging Technology Companies
1
Employee Rights
1
Employee Training
1
Employee-Ownership
1
Employment Policies
1
Employment Rights Act
1
Energy & Climate Debates
1
Energy Efficiency
1
Energy Policy Modernization Act of 2015
1
Enforcement Guidance
1
Enforcement Statistics
1
Enterprise and Regulatory Reform Act
1
Entire Fairness Standard
1
Entrepreneurs
1
Environmental Assessments
1
EPA
1
Equity Plans
1
Equity Swaps
1
Escheat
1
Estoppel
1
Ethics
1
ETNs
1
EU Data Protection Laws
1
EU Directive
1
European Court of Justice (ECJ)
1
Evidence
1
Evidentiary Hearings
1
Examination Priorities
1
Excessive Fees
1
Exclusions
1
Exclusive Forum
1
Exempt-Employees
1
Exemptive Orders
1
Exploitation
1
Export Controls
1
Exports
1
Expungement
1
Extraterritoriality Rules
1
Facilitation Payments
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
FBI
1
FCC
1
FCRA
1
FDCPA
1
Federal Trade Commission Act
1
Fee Disclosure
1
FERC
1
FICC
1
Filing Deadlines
1
Filing Fees
1
Financial Analysts
1
Financial Holding Company
1
Financial Products
1
Financial Services Industry
1
Financing
1
Firearms
1
Fitbit
1
Fitch
1
Flood Insurance
1
Flood Zones
1
FOIA
1
Forced Labor
1
Foreign Affiliates
1
Foreign Policy
1
Forfeiture
1
Form 10-Q
1
Form BE-10
1
Form S-1
1
Former Directors
1
Forms
1
Forum Selection
1
Forward Contract Exclusion
1
Fourth Amendment
1
France
1
Fraud Prevention
1
Freddie Mac
1
Free Identity Theft Protection
1
Fringe Benefits
1
FSB
1
Fund Expenses
1
Funding Options
1
Future Commission Merchants
1
GAAS
1
Gabelli v SEC
1
GameStop
1
GE Capital Retail Bank
1
Gender Discrimination
1
General Data Protection Regulation (GDPR)
1
General Electric
1
General Motors
1
George Canellos
1
Germany
1
Global Systemically Important Financial Institutions (GSIFI)
1
Government Shutdown
1
Governmental Liability
1
Greece
1
Green Cards
1
Gross Negligence
1
Guidance Update
1
Health Insurance
1
Hedges
1
HERA
1
HHS
1
High Frequency Trading
1
High Net-Worth
1
HIPAA
1
Home Depot
1
Hong Kong Securities and Futures Commission (HKSFC)
1
Hospitality Industry
1
HRA
1
HSBC
1
ICFR
1
IFCPA
1
IFRS
1
Illegal Imports
1
ILSA
1
IMF
1
Immigrant Investor Program
1
Incentives
1
Incident Response Plans
1
Income Taxes
1
Individual Accountability
1
Inducement
1
Inflation Adjustments
1
Information Reports
1
Infrastructure
1
Injunctions
1
Insider Breach
1
Integrated Disclosures
1
Intellectual Property Protection
1
Interchange Fees
1
Interim Rule
1
Internal Audit Functions
1
Internal Reporting
1
International Tax Issues
1
Internet Service Providers (ISPs)
1
Investor Visa Options
1
IRIS
1
ISDA
1
ISOs
1
iTraxx CDS indices
1
ITSR
1
Job Applicants
1
Joint and Several Liability
1
Joint Venture
1
Judicial Review
1
Jurisdiction
1
KBR (formerly Kellogg Brown & Root)
1
Kickbacks
1
Kickstarter
1
King v Burwell
1
Labor Code
1
Lawful Permanent Residents
1
Legal Costs
1
Legal Ethics
1
Legal Perspectives
1
Legislative Agendas
1
Legislative Committees
1
Leverage Ratio
1
LGBT
1
Liability Insurance
1
License Agreements
1
Life Insurance
1
Limited Liability Companies
1
Limited Partnerships
1
LinkedIn
1
Liquidity Profiling
1
Litigation Hold
1
LLC
1
Lobbying
1
Lock-Up Requirements
1
Loss Causation
1
Mach Mining v EEOC
1
Major Swap Participants
1
Management Fees
1
Mandatory Reporting Laws
1
Market Basket
1
Marketing Services Agreements
1
Martin Act
1
Material Violation
1
MBIA Insurance
1
Meals-Gifts-and Entertainment Rules
1
Media
1
Medical Devices
1
Membership Interest
1
Memorandum of Guidance
1
Merrill Lynch
1
Metals
1
Methane
1
Microsoft
1
MiFID
1
MiFID II
1
Mineral Exploration
1
Minority Shareholders
1
Misclassification
1
Mismanagement
1
MOFCOM
1
Money Services Business
1
Moody's
1
Mortgage Servicers
1
Mortgage-Backed Securities
1
Motion to Dismiss
1
Motion To Stay
1
MPRA