Browse Related Topics For:

Investment Adviser

858
SEC
311
Broker-Dealer
270
Fiduciary Duty
261
DOL
250
Enforcement Actions
225
Retirement Plan
221
ERISA
176
FINRA
170
Investment Advisers Act of 1940
157
Cybersecurity
150
OCIE
139
Conflicts of Interest
138
Dodd-Frank
127
Fiduciary Rule
126
Compliance
120
Best Interest Contract Exemptions
90
CFTC
88
Financial Institutions
86
Disclosure Requirements
86
Investment Funds
79
IRA
74
Hedge Funds
72
Benefit Plan Sponsors
72
Employee Benefits
70
Investment Management
70
Popular
67
Mutual Funds
67
Reporting Requirements
64
Trump Administration
62
Final Rules
61
Form ADV
60
Pay-To-Play
59
EU
59
Insider Trading
58
401k
58
FinCEN
58
Recordkeeping Requirements
57
Anti-Money Laundering
55
Financial Markets
54
Financial Sector
53
Securities
51
Enforcement
51
Securities Fraud
50
Brokers
50
Investors
50
Private Equity Funds
48
Investment Company Act of 1940
48
Proposed Regulation
47
Custody Rule
45
Private Equity
43
Chief Compliance Officers
43
Investment Companies
42
Private Funds
41
Fraud
41
Fund Managers
40
Derivatives
40
Whistleblowers
39
Securities Exchange Act
38
Best Interest Standard
38
Risk Alert
38
SEC Examination Priorities
35
Banks
34
Asset Management
34
Breach of Duty
34
Data Protection
34
Registration
33
Bank Secrecy Act
31
Exemptions
30
Banking Sector
30
Excessive Fees
30
Financial Services Industry
29
BSA/AML
28
Data Breach
28
Sanctions
28
SCOTUS
27
Cyber Attacks
27
Investment
27
PTEs
26
Industry Examinations
26
New Guidance
26
UK
25
Disgorgement
24
Board of Directors
24
European Securities and Markets Authority (ESMA)
24
Federal Reserve
24
Financial Adviser
24
Guidance Update
24
IRS
24
Suspicious Activity Reports (SARs)
24
Swaps
23
AIFMD
23
ETFs
23
Fees
23
Financial Conduct Authority (FCA)
23
Retirement
23
Risk Management
23
Social Media
22
Books & Records
22
Data Security
22
Filing Requirements
22
MSRB
22
No-Action Letters
22
Risk Assessment
21
Audits
21
Municipal Advisers
21
Personally Identifiable Information
20
Civil Monetary Penalty
20
Comment Period
20
FCPA
20
Internal Revenue Code (IRC)
20
Policies and Procedures
20
Securities Violations
19
DOJ
19
Insurance Industry
19
Settlement
18
Accredited Investors
18
Currency Transaction Reports (CTR)
18
Proxy Advisors
18
Shareholders
17
CFPB
17
Mary Jo White
17
Money Market Funds
17
Pensions
17
Political Contributions
17
Proxy Voting Guidelines
17
Registered Investment Advisors
17
Umbrella Registration
17
Whistleblower Awards
16
Business Continuity Plans
16
Canada
16
CPO
16
JOBS Act
16
NFA
16
Penalties
16
Portfolio Managers
16
Registration Requirement
16
Venture Capital
15
Commodities
15
Hackers
15
No-Action Relief
15
SIFMA
15
Third-Party Service Provider
15
Valuation
14
Administrative Procedure Act
14
Criminal Prosecution
14
FDIC
14
General Solicitation
14
Internal Controls
14
Marketing
14
Material Nonpublic Information
14
Misappropriation
14
Money Laundering
14
NEP
14
OCC
14
Proposed Amendments
14
Proposed Legislation
14
Regulation S-P
14
Section 36(b)
14
Statute of Limitations
14
U.S. Treasury
14
White Collar Crimes
13
ALJ
13
Class Action
13
Corporate Governance
13
Disclosure
13
Due Diligence
13
Ethics
13
Filing Deadlines
13
Patriot Act
13
Private Investment Funds
13
Regulatory Oversight
13
SAR
13
Securities Act of 1933
13
TPAs
13
Volcker Rule
12
Administrative Proceedings
12
Appeals
12
Australia
12
Capital Markets
12
Cease and Desist Orders
12
Market Manipulation
12
Misrepresentation
12
Presidential Elections
12
Retail Investors
12
Retirement Plan Providers
12
Securities Litigation
12
Trustees
11
Administrative Hearings
11
Advertising
11
AIFM
11
Crowdfunding
11
CTA
11
Cyber Crimes
11
Cyber Threats
11
Dismissals
11
European Commission
11
Examination Priorities
11
PCAOB
11
Pension Funds
11
Ponzi Scheme
11
Publicly-Traded Companies
11
Regulation D
11
Robo-Advisors
11
Unregistered Brokers
10
Asset Valuations
10
China
10
Commodity Pool
10
Corporate Counsel
10
Executive Compensation
10
FATCA
10
Form PF
10
FSOC
10
Identity Theft
10
Investment Portfolios
10
IPO
10
Morgan Stanley
10
NPRM
10
Public Offerings
10
Qualified Client
10
Strategic Enforcement Plan
10
Swap Dealers
9
Anti-Retaliation Provisions
9
Arbitration
9
Auditors
9
Benchmarks
9
Beneficial Owner
9
Confidential Information
9
EEA
9
EMIR
9
Exchange-Traded Products
9
False Advertising
9
Financial Statements
9
Futures
9
Gartenberg Factors
9
Hong Kong
9
MiFID II
9
NIST
9
NYSE
9
Private Placements
9
Public Comment
9
Retaliation
9
RMBS
9
Rule 10b-5
9
Security-Based Swaps
9
Shareholder Litigation
9
Stress Tests
9
Summary Judgment
9
Surveys
9
Transfer Agents
9
Transparency
8
Administrative Appointments
8
ASIC
8
Best Practices
8
Bitcoin
8
CPOs
8
Cross-Border Transactions
8
Data Privacy
8
EBSA
8
Employer Liability Issues
8
False Statements
8
First Amendment
8
FTC
8
Investment Firms
8
Investment Fraud
8
Management Fees
8
National Futures Association
8
Prohibited Transactions
8
RAUM
8
Rule G-37
8
Safe Harbors
8
Sarbanes-Oxley
8
Third-Party
8
Trading Platforms
8
UCITS
8
US v Newman
7
Acquisitions
7
Advisory Contracts
7
Affiliates
7
Alternative Investment Funds
7
Amended Regulation
7
Annuities
7
BEA
7
Burden of Proof
7
EB-5
7
Exceptions
7
Failure To Disclose
7
Financial Regulatory Reform
7
Fixed Income Investments
7
Form N-Cen
7
Form N-PORT
7
GAAP
7
Income Taxes
7
Investor Protection
7
IOSCO
7
JPMorgan Chase
7
Jurisdiction
7
Listing Standards
7
Motion to Dismiss
7
NYDFS
7
OFAC
7
Ontario Securities Commission (OSC)
7
Participant-Directed Plans
7
Personal Liability
7
Petition for Writ of Certiorari
7
Plan Administrators
7
Private Right of Action
7
Qualified Retirement Plans
7
Rating Agencies
7
Separately Managed Accounts (SMA)
7
SIFIs
7
SnapChat
7
Testimonial Statements
7
Whistleblower Protection Policies
6
Affordable Care Act
6
Asset-Backed Securities
6
Bank Holding Company
6
Bonds
6
Broker Commissions
6
Capital Gains
6
CIP
6
Confidentiality Agreements
6
Cross-Border
6
Cyber Incident Reporting
6
Directors
6
Division of Investment Management
6
ESOP
6
Executive Orders
6
Fines
6
FinTech
6
Incident Response Plans
6
Information Reports
6
Interest Rates
6
ISDA
6
Janus Capital Group
6
Life Insurance
6
Liquidity
6
Mergers
6
MiFID
6
Municipal Bonds
6
Nasdaq
6
Neither Admit Nor Deny Settlements
6
New Regulations
6
Non-Enforcement
6
OMB
6
Performance Fee Rule
6
Plan Participants
6
Prejudgment Interest
6
Preliminary Injunctions
6
Privacy Policy
6
Prudential Regulation Authority
6
Registered Investment Companies (RICs)
6
Regulatory Standards
6
Rule 506 Offerings
6
Safeguards Rule
6
Securities Exchanges
6
SMAs
6
Startups
6
Stocks
6
Sub-advisers
6
Training
5
Attorney-Client Privilege
5
Bad Actors
5
Bank of New York (BNY) Mellon
5
BE-180
5
Block Trades
5
Blue Sky Laws
5
Bribery
5
Business Development Companies
5
C-Suite Executives
5
Capital Formation
5
Capital Raising
5
Cease and Desist
5
Charles Schwab
5
CME
5
Commercial Bankruptcy
5
Consent Order
5
Corporate Taxes
5
Customer Funds Protection
5
Cyber Insurance
5
Dark Pool
5
Data Collection
5
Data Loss Prevention
5
Dealers
5
Debt
5
Defined Benefit Plans
5
Distribution Rules
5
Due Process
5
EDGAR
5
Elder Issues
5
Equity Securities
5
Facebook
5
FCMs
5
Fee Disclosure
5
Field Assistance Bulletins
5
Fifth Amendment
5
Foreign Banks
5
Foreign Investment
5
France
5
Government Officials
5
Health Insurance
5
Illegal Tipping
5
Information Sharing
5
IRA Rollovers
5
ISS
5
Legislative Agendas
5
Lenders
5
Libor
5
Licensing Rules
5
Limited Liability Company (LLC)
5
Limited Partnerships
5
Loss Causation
5
Margin Requirements
5
Merger Agreements
5
Merrill Lynch
5
Misleading Statements
5
Negligence
5
Obama Administration
5
OSHA
5
Payday Loans
5
Portfolio Companies
5
Public Pension
5
Real Estate Investments
5
Real Estate Market
5
Regulation A
5
Regulation S-K
5
Regulatory Reform
5
Repeal
5
Reversal
5
Risk Mitigation
5
Rule 206(4)-5
5
State and Local Government
5
Transaction-Based Compensation
5
Vendors
4
Algorithmic Trading
4
Alternative Mutual Funds
4
Appointments Clause
4
Australian Securities and Investments Commission
4
AXA Equitable Life
4
Barclays
4
Blockchain
4
Breach of Contract
4
Business Taxes
4
C&DIs
4
Campaign Contributions
4
Canadian Securities Administration
4
CEA
4
CEOs
4
Chevron Deference
4
Citigroup
4
CMBS
4
Collateralized Debt Obligations
4
Collateralized Loan Obligations
4
Commodity Broker
4
Commodity Futures Contracts
4
Community Banks
4
Corporate Officers
4
Credit Suisse
4
Creditors
4
D&O Insurance
4
Delays
4
Deutsche Bank
4
Diversity
4
Duty of Loyalty
4
EBA
4
EEOC
4
Emerging Growth Companies
4
Excise Tax
4
False Claims Act (FCA)
4
Family Offices
4
FASB
4
FCRA
4
Federal Register
4
FFIEC
4
FHFA
4
Final Guidance
4
Financial Reporting
4
Financial Services Authority
4
Foreign Nationals
4
Form 13F
4
Gabelli v SEC
4
Gramm-Leach-Blilely Act
4
High Frequency Trading
4
Hiring & Firing
4
Incentive Compensation
4
Injunctions
4
Injunctive Relief
4
Insurance Litigation
4
Intermediaries
4
Internal Investigations
4
KBR (formerly Kellogg Brown & Root)
4
Liquidity Risk Management Rule
4
Major Swap Participants
4
Material Misstatements
4
Member State
4
Mortgages
4
NAV
4
New Legislation
4
Notice Requirements
4
OIG
4
Oil & Gas
4
PACs
4
Pending Legislation
4
Personal Benefit
4
Policy Exclusions
4
PRA
4
Preemption
4
Private Offerings
4
Puerto Rico
4
Red Flags Rule
4
Regulatory Agenda
4
Related Parties
4
Required Forms
4
Revenue Sharing
4
Rule 204-2
4
Rule 506(c)
4
Rulemaking Process
4
SBIC
4
Section 10(b)
4
Section 15(c)
4
Security and Privacy Controls
4
Security Risk Assessments
4
Senior Investors
4
Shareholder Proposals
4
Small Business
4
Spoofing
4
Standing
4
Student Loans
4
Tax Returns
4
Third-Party Risk
4
Threshold Requirements
4
Time Extensions
4
Tippees
4
Trusts
4
U.S. Commerce Department
4
UK Brexit
4
Underwriting
4
Variable Annuities
4
Verification Requirements
4
Waivers
4
Wells Fargo
4
Wire Fraud
4
Yahoo!
3
12b-1 plan
3
403(b) Plans
3
AMF
3
Annual Reports
3
Arbitration Agreements
3
Automotive Industry
3
Avon
3
Background Checks
3
Bail-In Provisions
3
Basel Committee
3
Big Data
3
BlackRock
3
Broken Windows
3
BrokerCheck
3
BRRD
3
Business Advice
3
Business Associates
3
Business Development
3
Capital Requirements
3
Chamber of Commerce
3
Class Certification
3
Clawbacks
3
Clearing Agents
3
Commercial General Liability Policies
3
Commodities Exchange Act
3
Compensation Committee
3
Constitutional Challenges
3
Consultants
3
Consultation
3
Consumer Financial Products
3
Continuity of Enterprises
3
Corporate Issuers
3
Credit Cards
3
Customer Due Diligence (CDD)
3
Debt Securities
3
Debtors
3
Deferred Prosecution Agreements
3
Department of Business Oversight
3
Derivative Suit
3
Discovery
3
Discovery Rule
3
Disruptive Trading Practices
3
DMO
3
Driverless Cars
3
Duty of Care
3
Duty of Prudence
3
Effective Date
3
European Central Bank
3
Exclusions
3
Exploitation
3
FDCPA
3
FIfth Third Bancorp v Dudenhoeffer
3
Filing Fees
3
Financial Instruments
3
Finders
3
Fixing America’s Surface Transportation Act (FAST Act)
3
FLSA
3
Foreclosure
3
Foreign Affiliates
3
Foreign Investment Fund
3
Foreign Official
3
Form D Filing
3
Form N-SAR
3
Form SHC
3
Forum Selection
3
Fund Expenses
3
Germany
3
Gifts
3
Global Code of Ethics
3
Google
3
Government Entities
3
Guilty Pleas
3
Halliburton v Erica P. John Fund
3
Health Savings Accounts
3
HHS
3
High Net-Worth
3
IFRS
3
Independence Rules
3
Independent Directors
3
Indictments
3
Inflation Adjustments
3
Institutional Investors
3
Internet
3
Internet of Things
3
Investigations
3
Investment Advisory Agreements
3
Investment Banks
3
Japan
3
Lehman Brothers
3
MiFIR
3
Minimum Salary
3
Misallocation of Funds
3
Mortgage Lenders
3
Mortgage-Backed Securities
3
Motion for Summary Judgment
3
Municipal Securities Issuers
3
Municipal Securities Market
3
NASAA
3
Non-GAAP Financial Measures
3
Offering Fraud
3
Offshore Funds
3
Online Marketplace Lending
3
OTC
3
Over-Time
3
Partnerships
3
Patents
3
Pharmaceutical Industry
3
Policy Violations
3
Pooled Investment Vehicles
3
Presidential Memorandum
3
Proposed Rules
3
Proxy Solicitations
3
Proxy Statements
3
Pyramid Schemes
3
Qui Tam
3
Ranieri Partners
3
Recidivism
3
Referendums
3
Registered Funds
3
Registration Statement
3
Regulation FD
3
Regulation S-X
3
REIT
3
RICO
3
Ring-Fencing
3
Rule 21F
3
Rule 506
3
Schedule 13D
3
Scienter
3
Section 10(b)-5
3
Securities Act
3
Service Agreements
3
Share Classes
3
Singapore
3
SLUSA
3
Social Media Policy
3
Solicitor General
3
Split of Authority
3
Stock Exchange
3
Stock Markets
3
Structured Financial Products
3
Suitability Rule
3
Supervision
3
Tax Evasion
3
Tax Reform
3
TCPA
3
Technology Sector
3
Tibble v Edison Int
3
Training Requirements
3
Transaction Fees
3
Unregistered Securities
3
Virtual Currency
3
Volkswagen
3
Wage and Hour
3
Wells Notice
3
White-Collar Exemptions
3
Workplace Injury
3
Yates Memorandum
2
Aiding and Abetting
2
Amended Legislation
2
Analytics
2
Angel Investors
2
Anthem Insurance
2
Anti-Avoidance
2
Anti-Bribery
2
Article II
2
Article III
2
Asia
2
Asset Protection
2
BaFin
2
Bank Holding Company Act
2
Bank of America
2
Bank of England
2
Bebo v SEC
2
Beneficiaries
2
Bernie Madoff
2
Board of Trustees
2
Breach Notification Rule
2
Brokerage Accounts
2
Business Valuations
2
Capital Acquisition Broker (CAB)
2
Carried Interest
2
CCO
2
CCPs
2
Central Counterparties
2
Cherry Picking
2
CIGNA
2
Class Action Arbitration Waivers
2
Client Data
2
Collateral Estoppel
2
Commercial Speech
2
Compensation
2
Compensation Agreements
2
Complaint Procedures
2
Compliance Manuals
2
Comptroller
2
Congressional Investigations & Hearings
2
Consumer Lenders
2
Corporate Culture
2
Corruption
2
Covered Transactions
2
Credit Monitoring
2
Criminal Conspiracy
2
Custodians
2
Data Breach Plans
2
Data Use Policies
2
DBRS
2
Deadlines
2
Debt Collection
2
Debt Collectors
2
Department of Financial Services
2
Deregulation
2
Derivatives Clearing Organizations
2
Dischargeable Debts
2
Disciplinary Proceedings
2
Discounts
2
Disqualification
2
Distressed Debt
2
Dividends
2
Dow Jones
2
Duty to Monitor
2
Economic Sanctions
2
EFTs
2
Electronic Communications
2
Electronic Reporting
2
Employer Group Health Plans
2
Employment Contract
2
Enforcement Guidance
2
Enforcement Statistics
2
Equal Protection
2
Escrow Accounts
2
Established Business Relationship
2
Estate Planning
2
Estate Tax
2
EU Directive
2
EU Market Abuse Regulation (EU MAR)
2
Euro
2
European Banking Authority
2
European Court of Justice (ECJ)
2
Exemptive Relief
2
Export Controls
2
Fair Market Value
2
False Reporting
2
Falsified Documents
2
Fannie Mae
2
Farms
2
FBAR
2
FBI
2
FCC
2
Federal Aviation Administration (FAA)
2
Federal Budget
2
Federal Contractors
2
Federal Pleading Requirements
2
Financial Planning
2
Financial Services Committee
2
Fitch
2
Flash Boys
2
Form BE-10
2
Forum Selection Clause
2
Fracking
2
Fraud-on-the-Market
2
Fraudulent Concealment
2
Freddie Mac
2
Free Speech
2
GAO
2
Gender-Based Pay Discrimination
2
Government Investigations
2
Healthcare
2
Heinz
2
HIPAA
2
HM Treasury
2
Hong Kong Securities and Futures Commission (HKSFC)
2
HSBC
2
Human Resources Professionals
2
Hurricane Sandy
2
Independent Director
2
Individual Accountability
2
Innovation
2
Innovative Technology
2
Insolvency
2
Insurance Brokers
2
Intergovernmental Agreements
2
Internet Service Providers (ISPs)
2
Interpretive Letters
2
Journalism
2
Jury Trial
2
Jury Verdicts
2
Kickbacks
2
Kraft
2
Lawson v FMR
2
Legal Fees
2
Lending
2
LiquidAlts
2
Liquidity Fees
2
Living Will
2
Loans
2
London Stock Exchange
2
M&A Brokers
2
Management Companies
2
Mandatory Arbitration Clauses
2
Mandatory Clearing Requirements
2
Market Access Rule
2
Meals-Gifts-and Entertainment Rules
2
Medical Marijuana
2
Mexico
2
Mobile Apps
2
Multinationals
2
NAIC
2
NASD
2
National Bank Act
2
National Emissions Standards
2
National Private Placement Regimes (NPPR)
2
NCUA
2
Net Capital Rule
2
NLRB
2
Non-Disclosure Agreement
2
Non-Public Information
2
Non-Solicitation Agreements
2
NRSRO
2
OCR
2
Offerings
2
Omnicare v Laborers District Council
2
Outsourcing
2
Patent Litigation
2
Pay or Play
2
Pay Ratio
2
Pay-for-Performance
2
Payment Systems
2
Permanent Injunctions
2
Phishing Scams
2
Political Campaigns
2
Political Candidates
2
Principal Transaction Exemption
2
Prioritized Examination
2
Privacy Concerns
2
Private Equity Firms
2
Professional Liability
2
Proprietary Trading
2
Prospectus
2
Public Disclosure
2
Public Hearing
2
Putative Class Actions
2
Qualified Financial Contracts (QFC)
2
Redemption Gates
2
Regulation M
2
Regulation SCI
2
Regulatory Agencies
2
Regulatory Flexibility Act
2
Regulatory Freeze
2
Reimbursements
2
Reinsurance
2
Remuneration
2
Renewal Fees
2
Rescission
2
Restrictive Covenants
2
Retailers
2
Retroactivity
2
RICs
2
Risk Retention
2
Rule 105
2
Rule 147
2
Sales Commissions
2
Scams
2
SDN List
2
SEC Commissioner
2
Securities Dealers
2
Securities Regulation
2
Securitization
2
Security Audits
2
Self-Employment Tax
2
Sellers
2
Separate Accounts
2
Settlement Agreements
2
Severance Agreements
2
SFO
2
Short Sales
2
Short Selling
2
Social Media Account Ownership
2
SoftBank
2
Sovereign Wealth Funds
2
Standard of Care
2
Standard of Review
2
Stark Law
2
State Farm
2
State Taxes
2
Stock Drop Litigation
2
Stock Prices
2
Stock Repurchases
2
Strict Compliance
2
Strict Liability
2
Subject Matter Jurisdiction
2
Subpoenas
2
Swap Market
2
Swing Pricing
2
Swiss Banks
2
Tax Liability
2
Tax Refunds
2
Technology
2
Terrorism Funding
2
Third-Party Relationships
2
TRACE
2
Twitter
2
Uber
2
Unilever
2
Unions
2
US Bank
2
US v Salman
2
Valeant
2
Verizon
2
VPPA
2
Vulnerable Victims
2
Wealth Management
2
Websites
2
Workplace Safety
2
Year-End Planning
2
Young Lawyers
1
21st Century Cures Initiative
1
529 Plans
1
AARP
1
ABLE Act
1
Accounting Controls
1
Accounting Fraud
1
Acquisition Agreements
1
Actual Damages
1
Actual Injuries
1
Actual or Constructive Knowledge
1
ADA
1
Add-ons
1
Administrative Authority
1
Administrative Exemption
1
Administrative Interpretation
1
Administrative Merits Determinations
1
Admissions
1
Adobe
1
Advanced Notice of Proposed Rulemaking (ANPRM)
1
Advisors Act
1
Advisory Committee
1
Advisory Opinions
1
Aereo
1
Affiliated-Business Arrangements
1
Affirmative Action
1
AFG
1
Aggregation Rules
1
Agricultural Land
1
Agricultural Sector
1
AIF
1
AIFs
1
AirBnB
1
Airlines
1
Akamai Technologies
1
AL Supreme Court
1
Algorithms
1
Allocation of Funds
1
Ally Financial Inc
1
Alstom
1
Alternative Fee Arrangements
1
Alternative Investment Fund Managers Directive
1
Alternative Trading Systems
Feedback? Tell us what you think of the new jdsupra.com!