Browse Related Topics For:

No-Action Relief

185
CFTC
93
SEC
71
Swaps
55
Swap Dealers
39
DSIO
38
EU
29
Shareholder Proposals
28
No-Action Letters
24
Reporting Requirements
23
Commodity Pool
22
SEFs
20
Major Swap Participants
19
Dodd-Frank
19
Proxy Access
18
CPOs
18
FCMs
17
Derivatives
17
Shareholders
16
Compliance
15
Broker-Dealer
15
CPO
15
Enforcement Actions
15
Investment Adviser
13
Banks
13
RMBS
13
UK
12
Brokers
12
FDIC
11
MiFID II
11
OCC
10
Derivatives Clearing Organizations
10
FINRA
10
Rule 14a-8
10
Securities Exchange Act
10
UK Brexit
9
European Securities and Markets Authority (ESMA)
9
Federal Reserve
9
NFA
9
Proxy Access Rule
9
Registration
9
Whole Foods
8
Banking Sector
8
CFPB
8
CTA
8
EMIR
8
Financial Institutions
8
Proxy Statements
7
Board of Directors
7
Corp Fin
7
DCMs
7
European Commission
7
Insider Trading
7
JOBS Act
7
Margin Requirements
7
Rating Agencies
7
Registration Requirement
7
Uncleared Swaps
6
Anti-Money Laundering
6
Bank Holding Company
6
Bylaws
6
Central Counterparties
6
Chief Compliance Officers
6
Commodities
6
Commodities Exchange Act
6
Enforcement
6
Filing Requirements
6
Financial Conduct Authority (FCA)
6
Financial Regulatory Reform
6
Investment Company Act of 1940
6
Investors
6
Mandatory Clearing Requirements
6
Proxy Season
6
Prudential Regulation Authority
6
Recordkeeping Requirements
5
Annual Reports
5
Australia
5
Exemptions
5
Family Offices
5
FHFA
5
FinCEN
5
Foreign Banks
5
Futures
5
Introducing Brokers
5
Investment Funds
5
ISDA
5
ISS
5
Proposed Regulation
5
SIFMA
5
Subsidiaries
5
Swap Clearing
4
Affiliates
4
AIFMD
4
Basel Committee
4
Benchmarks
4
Canada
4
Capital Markets
4
Capital Requirements
4
CEA
4
CME
4
Commodity Broker
4
Corporate Governance
4
Counterparties
4
Credit Default Swaps
4
Cross-Border
4
Custody Rule
4
Directors
4
DMO
4
Emerging Growth Companies
4
ETFs
4
Exchange-Traded Products
4
Executive Compensation
4
Final Rules
4
Financial Markets
4
FinTech
4
Investment Advisers Act of 1940
4
IOSCO
4
Libor
4
Market Participants
4
Mortgages
4
Mutual Funds
4
Non-US Entities
4
Novation
4
OCR
4
Proxy Voting Guidelines
4
Regulation S-K
4
Termination
4
Time Extensions
4
Volcker Rule
4
Wal-Mart
3
Acquisitions
3
AIFM
3
Arbitrage
3
Bank Secrecy Act
3
Banking Examinations
3
Block Trades
3
C&DIs
3
Clawbacks
3
Covered Funds
3
Deadlines
3
Delegation Clauses
3
Disclosure Requirements
3
EBA
3
European Banking Authority
3
European Supervisory Authorities (ESAs)
3
Financial Services Authority
3
Fitch
3
Fraud
3
FSOC
3
FTC
3
Hedge Funds
3
IFRS
3
Investment Management
3
JPMorgan Chase
3
Liquidity
3
Listing Standards
3
Money Market Funds
3
Moody's
3
OTC
3
PCAOB
3
Public Comment
3
Publicly-Traded Companies
3
Regulatory Oversight
3
Resource Extraction
3
Risk Management
3
Securities
3
Securities Fraud
3
Securitization Vehicles
3
Security-Based Swaps
3
SPVs
3
Strategic Enforcement Plan
3
Stress Tests
3
Stub Swaps
3
Trading Platforms
3
Variation Margin Requirements (VM)
2
401k
2
Accredited Investors
2
Advisory Opinions
2
AML-CTF
2
Appraisal
2
Arbitrators
2
ASEAN Funds
2
Asset Management
2
Bad Faith
2
Bank Holding Company Act
2
Bank of England
2
Bankruptcy Code
2
Basel III
2
Business Development Companies
2
C-Suite Executives
2
China
2
Citigroup
2
Civil Monetary Penalty
2
Class Action
2
Clearing Agencies
2
Collateralized Debt Obligations
2
Community Banks
2
Conflict Mineral Rules
2
Congressional Investigations & Hearings
2
Corporate Officers
2
Corporate Social Responsibility
2
Credit Cards
2
Credit Rating Agencies
2
Credit Ratings
2
Cybersecurity
2
Delegation of Discretion
2
Directly Conflicts Factors
2
Distressed Debt
2
EDGAR
2
Electronic Filing
2
Electronic Reporting
2
End-Users
2
Equity Plans
2
EU Directive
2
EU Market Abuse Regulation (EU MAR)
2
Exemptive Relief
2
Falsified Documents
2
Feeder Funds
2
Fees
2
FFIEC
2
Fiduciary Duty
2
Filing Deadlines
2
Financial Sector
2
Fixing America’s Surface Transportation Act (FAST Act)
2
Foreign Entities
2
Foreign Investment
2
Forex
2
Future Commission Merchants
2
GAAP
2
General Solicitation
2
HSBC
2
Insurance Industry
2
Interest Rates
2
Investment
2
Legacy Funds
2
Leverage Ratio
2
Loans
2
Market Abuse
2
Market Pricing
2
Mary Jo White
2
Memorandum of Understanding
2
MiFID
2
Mortgage REITS
2
NCUA
2
NYDFS
2
OFAC
2
Ontario Securities Commission (OSC)
2
Pay Ratio
2
Private Funds
2
Private Placements
2
Proposed Rules
2
Proxy Materials
2
Public Offerings
2
Regulation C
2
Regulation D
2
Regulation NMS
2
Regulation S
2
Regulation Technical Standards (RTS)
2
Risk Assessment
2
Risk Mitigation
2
RTS
2
Rule 14a-8(i)(9)
2
Rule 504
2
Rule 506 Offerings
2
SCOTUS
2
SDN List
2
Securities Act of 1933
2
Shareholder Activism
2
Small Business
2
Spoofing
2
Swap Data Repositories
2
Tender Offers
2
Terrorism Funding
2
Third-Party
2
TRACE
2
Trump Administration
2
Universal Proxy Cards
2
Valuation
2
Venture Capital
1
12b-1 plan
1
403(b) Plans
1
457(b) Plans
1
Administrative Appointments
1
Administrative Interpretation
1
Advertising
1
Affirmative Defenses
1
Aggregation Rules
1
Algorithmic Trading
1
Allocation of Funds
1
Alternative Investment Funds
1
Alternative Trading Systems
1
Anti-Corruption
1
Arbitration
1
Arbitration Agreements
1
Article 50 Treaty of the EU
1
ASIC
1
Asset Transfer
1
Attorney's Fees
1
Audit Reports
1
Auditors
1
Audits
1
Bailout
1
Bank Fraud
1
BCBS
1
Best Practices
1
Bitcoin
1
BitLicense
1
Blue Sky Laws
1
Boeing
1
Breach of Contract
1
Breach of Duty
1
Capital Formation
1
Capital Markets Union
1
Causation
1
CBOE
1
CCPs
1
CD&I
1
CDFI Fund
1
Certifications
1
Chapter 11
1
Chapter 7
1
Class Arbitration
1
CMBS
1
CME NYMEX
1
Code of Conduct
1
Collateralized Loan Obligations
1
Commercial Bankruptcy
1
Commercial End-User Exception
1
Commercial Leases
1
Commingling
1
Committee Meetings
1
Common Stock
1
Community Reinvestment Act
1
Compensation & Benefits
1
Comptroller
1
Conflicts of Interest
1
Consent Order
1
Conservators
1
Consultation
1
Consumer Lenders
1
Controlled Foreign Corporations
1
Corporate Bonuses
1
Corporate Financing
1
Corporate Management
1
Counterparty Risk
1
CRD IV Directive
1
Credit Suisse
1
Creditors
1
Cross-Border Transactions
1
Crowdfunding
1
Customer Protection Rule
1
Data Privacy
1
Data Reporting
1
DBRS
1
De Minimus Quantity Exemption
1
Debt Collectors
1
Debt Securities
1
Deposit Guarantee System
1
Designated Contract Market
1
Digital Assets
1
Director Nominations
1
Disclosure Settlement
1
Disgorgement
1
Disruptive Trading Practices
1
Diversity
1
Dividends
1
Division of Investment Management
1
Draft Guidance
1
Due Diligence
1
Economic Sanctions
1
EEA
1
EFTs
1
Electronic Blue Sheets
1
Employee Benefits
1
Employer Group Health Plans
1
Employer Liability Issues
1
Endowment Funds
1
Enforcement Authority
1
EOIPA
1
Equity Markets
1
Equivalency Determinations
1
Established Business Relationship
1
European Central Bank
1
Examination Priorities
1
Exchange Offer
1
Exclusions
1
Extensions
1
Fair Housing Act (FHA)
1
Fair Lending
1
Fannie Mae
1
FATCA
1
FBI
1
FDCPA
1
Federal Bank Regulatory Agencies
1
Federal Savings Associations
1
Financial Services Industry
1
Financial Statements
1
Finder's Fees
1
Firearms
1
Fixed Income Investments
1
FLSA
1
Foreign Branches of U.S. Banks
1
Foreign Business Exemption
1
Foreign Exchanges
1
Foreign Investment Entities (FIEs)
1
Foreign Private Issuers
1
Form PQR
1
Form SHC
1
Freddie Mac
1
Fund of Funds
1
Fundersclub.com
1
Funding Portal
1
G-SIB
1
G20
1
GA Supreme Court
1
GASB
1
Glass Lewis
1
Goldman Sachs
1
Guaranteed Introducing Brokers
1
HAMP
1
Hart-Scott-Rodino Act
1
Hedges
1
HHS
1
High Frequency Trading
1
HMDA
1
Honeywell International
1
Hong Kong Securities and Futures Commission (HKSFC)
1
HQLA
1
HUD
1
Hyperlink
1
Independent Boards
1
Indictments
1
Industry Examinations
1
Infrastructure
1
Initial Public Offerings
1
Injunctive Relief
1
Innovation
1
Innovative Technology
1
Institutional Investment
1
Institutional Investors
1
Insurance Litigation
1
Intermediaries
1
International Banks
1
Internet
1
Interpretive Letters
1
IPO
1
IRS
1
ISDA Master Agreement
1
Japan
1
Junior Liens
1
Jurisdiction
1
Leases
1
Legal Entity Identifiers
1
Lenders
1
Leveraged Loans
1
Licenses
1
LiquidAlts
1
Liquidity Coverage Ratio
1
Liquidity Risk Management Rule
1
Loan Modifications
1
London Stock Exchange
1
Long-Term Investment Funds
1
Loss Causation
1
M&A Brokers
1
Management Fees
1
Management Proposals
1
Margin Calls
1
Marijuana
1
Market Manipulation
1
MBIA Insurance
1
Meals-Gifts-and Entertainment Rules
1
Mergers
1
Merrill Lynch
1
MetLife
1
Mexico
1
Middle Market
1
MiFIR
1
Money Transfer
1
Mootness
1
Mortgage Credit Directive (MCD)
1
Mortgage Lenders
1
Mortgage Servicers
1
Motion to Dismiss
1
Municipalities
1
NASD
1
Netherlands
1
New Guidance
1
Nokia
1
Non-Convertible Debt Securities
1
Nonbank Firms
1
NOPR
1
Notice Requirements
1
NYSE
1
Oil & Gas
1
Online Platforms
1
Ordinary Business Exception
1
Ordinary Course of Business Defense
1
Packaged Retail And Insurance-Based Investment Products (PRIIPS)
1
Participant-Directed Plans
1
Passporting
1
Pay-To-Play
1
Payday Loans
1
Payment Systems
1
Payroll Cards
1
Permanent Injunctions
1
Personal Data
1
Pfizer
1
Pooled Investment Vehicles
1
Popular
1
Position Limits
1
PRA
1
Preemption
1
Prejudgment Interest
1
Prepaid Payment Products
1
Presidential Elections
1
Private Letter Rulings
1
Private Student Loans
1
Privately Held Corporations
1
Professional Liability
1
Proposed Amendments
1
Proposed Legislation
1
Prospectus
1
Proxy Advisors
1
Prudential Standards
1
Public Disclosure
1
Public Listing
1
Putative Class Actions
1
Qualcomm
1
Qualified Retirement Plans
1
Ransomware
1
Receivership
1
Refinancing
1
Registered Investment Companies (RICs)
1
Registration Statement
1
Regulation A
1
Regulation AA
1
Regulation M
1
Regulation Z
1
Regulatory Agencies
1
Regulatory Agenda
1
REIT
1
REMIT
1
Renewable Energy
1
Reorganizations
1
Representations and Warranties
1
Repurchases
1
Required Documentation
1
Responsible Corporate Officer Doctrine
1
Restructuring
1
Retailers
1
Retirement Plan
1
Reversal
1
RICs
1
Risk Retention
1
Rule 10b-5
1
Rule 147
1
Rule 14a-8(i)(7)
1
Rule 506(c)
1
S&P
1
Safe Harbors
1
Same-Sex Marriage
1
Sanctions
1
Scienter
1
SEC Comment Letter Process
1
SEC Examination Priorities
1
Section 502
1
Securities Act
1
Securities Litigation
1
Settlement Agreements
1
SFTR
1
Shadow Banking
1
Shareholder Litigation
1
Short Sales
1
Short-Form Mergers
1
SIFIs
1
Singapore
1
Sovereign Debt
1
Special Purpose Entities
1
Standing Letters of Authorization (SLOA)
1
Startups
1
Statements of Net Worth
1
Stock Options
1
Student Loans
1
Sub-advisers
1
Suitability Rule
1
Summary Judgment
1
Supervision
1
Swap Execution Facilities
1
Swap Market
1
Swap Trading
1
Swing Pricing
1
Tandy Letter
1
Technical Standards
1
Terrorism Insurance
1
The Great Repeal Bill
1
Third Country Entities
1
Third Country Entities (TCEs)
1
Third-Party Service Provider
1
Tick Size
1
TLAC
1
Transfer Agents
1
Transitional Arrangements
1
Treasury Affiliates
1
TRIA
1
Trinity Wall Street
1
Trust Preferred Securities
1
Trusts
1
Truth in Lending Act (TILA)
1
U.S. Treasury
1
UAE
1
UCITS
1
Underwater Homeowners
1
Underwriting
1
Unpaid Overtime
1
Utilities Sector
1
Utility Special Entities
1
Voting Requirements
1
Websites
1
Withdrawal
1
Withholding Tax
1
World Bank