Browse Related Topics For:

Securities & Exchange Commission

1351
Enforcement Actions
1315
Dodd-Frank
1166
Compliance
859
Disclosure Requirements
709
FCPA
667
JOBS Act
659
DOJ
643
Investment Adviser
609
Broker-Dealer
607
FINRA
543
Whistleblowers
527
CFTC
476
Securities Exchange Act
444
Enforcement
424
Insider Trading
379
Popular
373
Cybersecurity
363
Crowdfunding
314
Executive Compensation
314
Fraud
313
Reporting Requirements
305
Securities Fraud
290
Investors
269
Regulation D
255
Publicly-Traded Companies
252
Securities Act of 1933
250
EU
248
Chief Compliance Officers
243
General Solicitation
242
Conflict Mineral Rules
237
Securities
229
OCIE
229
Proposed Regulation
223
Rule 506 Offerings
221
Corporate Governance
217
Shareholders
214
Banks
206
Accredited Investors
206
Bribery
197
Federal Reserve
194
Board of Directors
194
Financial Institutions
192
Whistleblower Awards
191
Regulation S-K
191
Swaps
183
Sarbanes-Oxley
180
Settlement
179
Investment Advisers Act of 1940
178
Whistleblower Protection Policies
176
FDIC
174
Corporate Counsel
174
Mary Jo White
168
Emerging Growth Companies
164
Audits
163
China
163
Hedge Funds
163
Regulation A
157
Derivatives
155
SCOTUS
154
Investment Funds
152
Internal Controls
150
CFPB
150
Startups
149
Fiduciary Duty
147
Financial Markets
143
Registration
139
OCC
138
Conflicts of Interest
137
Advertising
137
Disgorgement
137
Pay Ratio
135
Banking Sector
135
No-Action Letters
134
Proxy Statements
132
Risk Management
131
Due Diligence
131
Final Rules
130
UK
129
NYSE
127
Private Placements
126
Criminal Prosecution
126
PCAOB
125
IPO
124
Private Equity
122
Data Protection
122
European Securities and Markets Authority (ESMA)
119
Investment Company Act of 1940
117
Risk Assessment
117
Shareholder Proposals
115
Retaliation
115
Social Media
114
Anti-Corruption
112
CEOs
110
Clawbacks
109
Internal Investigations
109
Security-Based Swaps
108
Data Breach
107
Nasdaq
106
Mutual Funds
106
Sanctions
105
Brokers
105
Municipal Advisers
104
Public Disclosure
104
White Collar Crimes
103
Rule 144A
102
First Amendment
101
Small Business
100
Confidentiality Agreements
98
Corporate Officers
98
Financial Statements
98
FinCEN
97
Money Market Funds
96
Bad Actors
94
Administrative Hearings
94
Deferred Prosecution Agreements
94
Exemptions
94
Public Offerings
93
Class Action
92
Comment Period
89
Volcker Rule
88
Anti-Money Laundering
88
Private Equity Funds
86
Financial Conduct Authority (FCA)
86
Fixing America’s Surface Transportation Act (FAST Act)
86
RMBS
85
Investment Management
85
Municipal Bonds
84
MSRB
84
Registration Requirement
84
Securities Litigation
82
ALJ
82
Civil Monetary Penalty
82
GAAP
81
Corruption
81
Transparency
80
Anti-Retaliation Provisions
79
Appeals
79
FCPA Resource Guide
77
Recordkeeping Requirements
77
Strategic Enforcement Plan
76
Cyber Attacks
76
Financial Reporting
76
FTC
75
Employer Liability Issues
75
Proposed Amendments
75
Swap Dealers
74
Directors
74
Form 10-K
73
Filing Requirements
72
Administrative Proceedings
72
ETFs
72
Ethics
72
Funding Portal
72
IRS
72
Offerings
71
Capital Raising
70
Disclosure
70
Private Offerings
69
Capital Formation
69
DOL
69
High Frequency Trading
69
No-Action Relief
68
Financial Regulatory Reform
68
Incentive Compensation
67
C-Suite Executives
67
Private Funds
66
EDGAR
66
Investment Companies
66
KBR (formerly Kellogg Brown & Root)
65
Compensation Committee
65
Foreign Official
65
Proxy Season
65
Risk Alert
65
Statute of Limitations
64
Auditors
64
FHFA
64
New Regulations
64
Ponzi Scheme
63
Mortgages
63
Oil & Gas
63
Penalties
63
Resource Extraction
62
Hong Kong
62
Material Nonpublic Information
62
Municipalities
62
Pay-To-Play
62
U.S. Treasury
61
Cease and Desist Orders
61
Data Security
61
Regulation FD
61
Stocks
61
Underwriting
60
Misappropriation
60
US v Newman
59
Bitcoin
59
FSOC
59
Fund Managers
59
Pay-for-Performance
59
Rating Agencies
59
Venture Capital
58
Asset Management
58
Capital Markets
58
New Guidance
58
Say-on-Pay
57
Cross-Border
57
Custody Rule
57
Investigations
57
Misrepresentation
57
Self-Reporting
56
Books & Records
56
Illegal Tipping
56
Municipal Securities Issuers
55
ERISA
55
Listing Standards
55
Safe Harbors
54
EB-5
54
Facebook
54
Marketing
53
Bank Secrecy Act
53
Canada
53
Citigroup
53
Form SD
53
Non-GAAP Financial Measures
53
Proxy Voting Guidelines
53
Rulemaking Process
52
Australia
52
Rule 10b-5
51
Asset-Backed Securities
50
C&DIs
50
Hedging
50
ISS
50
Non-Prosecution Agreements
50
Pharmaceutical Industry
50
Registered Investment Advisors
49
CPO
49
Fees
49
Proxy Access Rule
49
Shareholder Litigation
48
European Commission
48
Hackers
48
MCDC
48
Neither Admit Nor Deny Settlements
48
Personal Benefit
48
Total Shareholder Return (TSR)
48
Virtual Currency
47
Breach of Duty
47
Personally Identifiable Information
47
Prudential Regulation Authority
47
Wal-Mart
46
Market Manipulation
45
Data Privacy
45
False Statements
45
Government Investigations
45
Investment
45
Major Swap Participants
45
NFA
45
Public Comment
44
Annual Reports
44
Anti-Bribery
44
Internal Reporting
44
Proposed Legislation
43
Amended Regulation
43
Appointments Clause
43
JPMorgan Chase
43
Policies and Procedures
43
Political Contributions
43
SEC Examination Priorities
42
Judge Rakoff
42
Money Laundering
42
Rule 21F
41
Acquisitions
41
AIFMD
41
Foreign Investment
41
NAM
41
Preemption
41
Training
40
Administrative Procedure Act
40
Dark Pool
40
Initial Public Offerings
40
Manufacturers
40
Personal Liability
40
Retirement Plan
40
Small Offering Exemptions
39
Cross-Border Transactions
39
Foreign Banks
39
Hiring & Firing
39
Risk Retention
39
Stress Tests
39
Unregistered Brokers
38
Audit Committee
38
Blue Sky Laws
38
Chevron Deference
38
Confidential Information
38
Exchange-Traded Products
38
Form 8-K
38
Mortgage-Backed Securities
38
Municipal Securities Market
38
Netflix
37
Arbitration
37
IOSCO
37
Title III
37
UK Bribery Act
36
Corporate Culture
36
Goldman Sachs
36
Guidance Update
36
Jurisdiction
36
Mergers
36
Young Lawyers
35
Accounting Fraud
35
Capital Requirements
35
Collateralized Debt Obligations
35
False Claims Act (FCA)
35
Material Misstatements
35
Morgan Stanley
35
Pensions
35
Regulatory Agenda
34
Corporate Issuers
34
Form ADV
34
Libor
34
Proxy Advisors
34
Rule 14a-8
34
SIFMA
34
Third-Party
33
Commodities
33
Cooperation
33
Investor Protection
33
Margin Requirements
33
NAV
33
Registration Statement
33
Valuation
32
BSA/AML
32
Gabelli v SEC
32
Insurance Industry
32
OFAC
32
Subsidiaries
31
Bonds
31
Bylaws
31
EMIR
31
Financial Sector
31
Foreign Private Issuers
31
Form D Filing
31
Offering Fraud
31
Scienter
31
Yates Memorandum
30
EEOC
30
Industry Examinations
30
Market Participants
30
Risk Mitigation
30
Rule 506(c)
30
Shareholder Activism
29
Basel Committee
29
Credit Ratings
29
Deadlines
29
Derivative Suit
29
Meals-Gifts-and Entertainment Rules
29
Regulation S-X
29
Whole Foods
28
Bank of America
28
Best Practices
28
Diversity
28
EBITDA
28
HUD
28
OTC
28
Portfolio Managers
28
Prejudgment Interest
28
REIT
28
Rule 147
28
Suspicious Activity Reports
28
Tender Offers
27
Avon
27
Business Development Companies
27
D&O Insurance
27
Fines
27
Healthcare
27
Price Manipulation
27
Proprietary Trading
27
Regulation AB
26
Algorithmic Trading
26
Broken Windows
26
CME
26
Cyber Threats
26
European Banking Authority
26
NASD
26
Regulation S-P
26
SEC v Citigroup
26
Structured Financial Products
26
Twitter
25
Alternative Trading Systems
25
Cease and Desist
25
Disqualification
25
Employee Benefits
25
Equity Securities
25
Foreign Nationals
25
Funding
25
Liquidity Fees
25
Mining
25
NIST
25
NRSRO
25
Proxy Access
25
Regulation SCI
25
Regulatory Standards
25
S&P
25
Unregistered Securities
24
Commercial Bankruptcy
24
Commodity Pool
24
Entrepreneurs
24
FASB
24
Foreign Subsidiaries
24
GAO
24
Identity Theft
24
Liquidity
24
Median Employee
24
NEP
24
Permanent Injunctions
24
Professional Liability
24
Qualified Mortgage Rule
24
Section 10(b)
24
Short Sales
24
Waivers
24
Websites
23
Annual Meeting
23
Bank Holding Company
23
Class Certification
23
Cyber Crimes
23
Injunctions
23
Investment Portfolios
23
Redemption Gates
22
Bank of New York (BNY) Mellon
22
CPOs
22
CTA
22
Deutsche Bank
22
Discovery
22
Discovery Rule
22
Enforcement Statistics
22
Federal Register
22
Financing
22
Futures
22
Iran Sanctions
22
Legislative Agendas
22
NASAA
22
OECD
22
Privately Held Corporations
22
Securities Violations
22
Securitization
22
Summary Judgment
22
Supply Chain
22
Voluntary Disclosure
21
Attorney-Client Privilege
21
CEA
21
Due Process
21
FFIEC
21
Forum Selection
21
Information Sharing
21
Liquidity Risk Management Rule
21
Misleading Statements
21
Moody's
21
NLRB
21
Preliminary Injunctions
21
Spoofing
21
Wells Notice
21
Wire Fraud
21
XBRL Filing Requirements
20
Alternative Investment Funds
20
Article II
20
Asset Valuations
20
Basel III
20
Dismissals
20
Indictments
20
Internet
20
Reed Hastings
20
Serious Fraud Office
20
Shareholder Votes
20
Subpoenas
20
Third-Party Service Provider
20
USCIS
19
Affiliates
19
CFOs
19
Chamber of Commerce
19
Commodities Exchange Act
19
Criminal Conspiracy
19
Currency Transaction Reports (CTR)
19
Cyber Insurance
19
Employment Contract
19
Fannie Mae
19
Fee-Shifting
19
Filing Deadlines
19
Fraud-on-the-Market
19
Investment Fraud
19
Medical Devices
19
Minerals
19
Motion to Dismiss
19
NCUA
19
Notice Requirements
19
Pending Legislation
19
Pump and Dump
19
Real Estate Investments
19
SEFs
19
Siemens
19
SIFIs
19
Wells Fargo
18
Bebo v SEC
18
Code of Conduct
18
Debt Securities
18
Energy Sector
18
FBI
18
FCMs
18
Foreign Exchanges
18
Freddie Mac
18
Golden Parachutes
18
Halliburton
18
Individual Accountability
18
Loans
18
Natural Resources
18
New Legislation
18
Ontario Securities Commission (OSC)
18
Prospectus
18
Retirement
18
Securities Exchanges
18
Subject Matter Jurisdiction
18
Tier 2 Offerings
18
Wall Street
17
Accounting
17
Accounting Controls
17
Affordable Care Act
17
Amnesty International
17
Automotive Industry
17
Barack Obama
17
EBA
17
Equity Financing
17
European Central Bank
17
FCC
17
Federal Pilot Programs
17
Financial Services Industry
17
Finders
17
Foreign Corporations
17
Glass Lewis
17
Goodyear
17
Iran Threat Reduction and Syria Human Rights Act
17
Japan
17
Kickbacks
17
Multinationals
17
Proxy Materials
17
Remediation
17
Vendors
17
Visas
16
Alstom
16
Beneficial Owner
16
Clearing Agencies
16
Collateralized Loan Obligations
16
En Banc Review
16
Equity Markets
16
Exemptive Relief
16
Failure To Disclose
16
FDA
16
Fifth Amendment
16
Government Officials
16
Halliburton v Erica P. John Fund
16
Independence Rules
16
ISDA
16
Joint Venture
16
Life Insurance
16
Merrill Lynch
16
MiFID II
16
Patriot Act
16
Privacy Policy
16
Shareholder Rights
16
Stock Exchange
16
Supervision
16
Third-Party Risk
16
Tippees
16
Trading Platforms
16
Transfer Agents
15
Bank Holding Company Act
15
Barclays
15
BHP Billiton
15
BrokerCheck
15
Corporate Crimes
15
COSO
15
Equal Protection
15
Examination Priorities
15
Extraterritoriality Rules
15
FATCA
15
Form S-1
15
Injunctive Relief
15
Institutional Investors
15
Interim Rule
15
Intermediaries
15
Internal Audit Functions
15
Kickstarter
15
Patents
15
Petition for Writ of Certiorari
15
Ralph Lauren
15
Rule 10D-1
15
Rule 506
15
SAR
15
Schedule 13D
15
Section 10D
15
Securities Act
15
Settlement Agreements
15
Stock Trades
15
Technology
15
Trade Secrets
15
UBS
15
Wages
14
Accounting Standards
14
Bank Fraud
14
Consent Decrees
14
Cyber Incident Reporting
14
Data Collection
14
FCRA
14
Federal Contractors
14
Financial Services Authority
14
Fitch
14
Fixed Income Investments
14
Floating NAV
14
FOIA
14
FSB
14
GlaxoSmithKline
14
Hart-Scott-Rodino Act
14
Indemnification
14
Interlocutory Appeals
14
Investment Banks
14
MiFID
14
Policy Violations
14
Privacy Laws
14
Real Estate Market
14
Regulation M
14
Secondary Markets
14
Security Risk Assessments
14
SFO
14
Standing
14
Technology Sector
14
Threshold Requirements
14
Variable Annuities
14
Wage and Hour
13
ABS
13
AIFM
13
ASIC
13
Bank of England
13
Corporate Misconduct
13
Corporate Social Responsibility
13
Credit Suisse
13
Debt
13
Early Stage Companies
13
Economic Development
13
Export Controls
13
Fair Housing Act (FHA)
13
False Advertising
13
Financial Adviser
13
Form PF
13
Hewlett-Packard
13
Incident Response Plans
13
Management Fees
13
OIG
13
Ordinary Business Exception
13
Payday Loans
13
Personal Jurisdiction
13
Petrobras
13
Private Investment Funds
13
PSLRA
13
Regulation SHO
13
Retailers
13
SEC Advisory Committee
13
Shareholder Approval
13
SLUSA
13
Telecommunications
13
Title IV
13
Title VII
12
401k
12
Alternative Mutual Funds
12
Annual Filings
12
Apple
12
Asia
12
Best Management Practices
12
BitLicense
12
Brazil
12
CDIs
12
Climate Change
12
CMBS
12
Construction Industry
12
Data Loss Prevention
12
Derivatives Clearing Organizations
12
Disruptive Trading Practices
12
Eli Lilly
12
Email
12
Equity Compensation
12
Federal Rules of Civil Procedure
12
Financial Crisis
12
Foreign Workers
12
Form N-PORT
12
General Electric
12
Health Care Providers
12
IFRS
12
Information Reports
12
Loss Causation
12
Material Disclosures
12
Nonbank Firms
12
Professional Conferences
12
Qualified Purchaser
12
Red Flags Rule
12
Related Parties
12
Russia
12
SEC Commissioner
12
Securities Regulation
12
Security and Privacy Controls
12
Transacting Intrastate Business
12
UCITS
12
Wrongful Termination
11
Administrative Appointments
11
Adverse Employment Action
11
Asset Diversification
11
Bernie Madoff
11
Big Data
11
CBOE
11
Community Banks
11
Condominiums
11
Division of Investment Management
11
Electronic Communications
11
EMMA
11
Federal Sentencing Guidelines
11
FinTech
11
Foreign Issuers
11
Form N-Cen
11
Hong Kong Securities and Futures Commission (HKSFC)
11
HSBC
11
Hurricane Sandy
11
ICFR
11
Investor Advisory Committee
11
Lehman Brothers
11
Liquidity Coverage Ratio
11
Management Proposals
11
Motion To Stay
11
Negligence
11
Non-Disclosure Agreement
11
NPRM
11
Offering Statements
11
Olympics
11
Omissions
11
Omnicare v Laborers District Council
11
Oxfam America
11
Protected Activity
11
Proxy Solicitations
11
Pyramid Schemes
11
Real Estate Development
11
Red Notices
11
Regulation C
11
Regulation S
11
Rule 156
11
Severance Agreements
11
Smith & Wesson
11
Social Media Policy
11
Split of Authority
11
Tax-Exempt Bonds
11
Verification Requirements
11
Yahoo!
10
10b5-1 Plans
10
Admissions of Liability
10
Africa
10
American Meat Institute
10
Angel Investors
10
Attorney's Fees
10
Background Checks
10
Bio-Rad Laboratories
10
BIS
10
CalPERS
10
Campaign Contributions
10
Corporate Criminal Fines
10
Criminal Investigations
10
Delaware General Corporation Law
10
Deloitte
10
Discrimination
10
Employees
10
Family Offices
10
FCPA Guidance
10
FIFA
10
Filing Fees
10
Forfeiture
10
Free Speech
10
Germany
10
Gramm-Leach-Blilely Act
10
Green Cards
10
Guilty Pleas
10
HHS
10
Hitachi
10
Human Rights
10
Income Taxes
10
IRA
10
Judicial Review
10
Limited Partnerships
10
Mandatory Arbitration Clauses
10
National Association of Manufacturers
10
National Futures Association
10
NYDFS
10
Obama Administration
10
Omnicare
10
Oppenheimer & Co.
10
OSHA
10
Outsourcing
10
Pleading Standards
10
Portfolio Companies
10
Prescription Drugs
10
Qualified Institutional Buyers
10
Regulation Z
10
Richard Cordray
10
Section 11
10
Self-Regulatory Organizations
10
Social Networks
10
Solar Energy
10
Sports
10
Stock Options
10
Swap Data Repositories
10
Termination
10
Tick Size
10
Transaction Fees
10
Unfair or Deceptive Trade Practices
9
Administrative Authority
9
AICPA
9
Amgen Inc. v Connecticut Retirement Plans
9
Analytics
9
Appraisal
9
Asia Pacific
9
Asset Freeze
9
Attorney Generals
9
Breach Notification Rule
9
Bristol-Myers Squibb
9
Bundling Rules
9
Business Development
9
CD&I
9
Cloud Computing
9
Consent Order
9
Consumer Lenders
9
Corporate Fines
9
Corporate Gifts
9
Country of Origin
9
Credit Default Swaps
9
Credit Rating Agencies
9
Debt Collection
9
Declaratory Relief
9
Dividends
9
DSIO
9
Duty to Disclose
9
EPA
9
Ernst & Young
9
EU Data Protection Laws
9
Evidence
9
FBAR
9
Financial Crimes
9
Forex
9
Forward Contracts
9
Fundraisers
9
Gender Equity
9
Government Shutdown
9
Hotels
9
Human Resources Professionals
9
Independent Contractors
9
Interest Rates
9
Internal Revenue Code (IRC)
9
Internships
9
Issuer Exemption
9
Janus Capital Group
9
Jury Trial
9
Jury Verdicts
9
Lawson v FMR
9
Layne Christensen Co
9
Life Sciences
9
Liquidation
9
New Amendments
9
Non-Enforcement
9
Non-Public Information
9
Non-US Entities
9
Online Marketplace Lending
9
Petition For Rehearing
9
PricewaterhouseCoopers
9
Professional Misconduct
9
Public Officials
9
Puerto Rico
9
Qualcomm
9
Resale Exemption
9
Reverse Mergers
9
Rule 10(b)
9
Rule G-42
9
Same-Sex Marriage
9
Securitization Vehicles
9
Self-Disclosure Requirements
9
Sovereign Wealth Funds
9
Student Loans
9
Swing Pricing
9
Trinity Wall Street
9
Trustees
9
Truth in Lending Act (TILA)
9
US-EU Safe Harbor Framework
9
WKSIs
8
Accountants
8
Admissions
8
Akamai Technologies
8
Annuities
8
Arbitration Agreements
8
Bad Faith
8
Bear Sterns
8
Benefit Plan Sponsors
8
BlackRock
8
Bruker
8
Canadian Securities Administration
8
CD&A
8
Certifications
8
Compensation & Benefits
8
Comptroller
8
Consumer Protection Act
8
Cost-of-Living
8
Countrywide
8
Covered Entities
8
Credit Cards
8
Creditors
8
De Minimus Quantity Exemption
8
Distributors
8
Employee Training
8
Employment Policies
8
Equity Plans
8
Excessive Fees
8
Exchange Offer
8
Executive Orders
8
Exports
8
Extractive Industry Transparency Rule
8
False Reporting
8
Federal Budget
8
Financial Restatements
8
Foreclosure
8
Foreign Affiliates
8
Form 10-Q
8
Going-Private Transactions
8
Hospitality Industry
8
Human Trafficking
8
Institutional Investment
8
Instrumentality
8
Iran
8
Item 402
8
Job Creation
8
KPMG
8
Lenders
8
Liability Insurance
8
LLC
8
Market Access Rule
8
Memorandum of Understanding
8
Merger Agreements
8
Microsoft
8
Mortgage Lenders
8
NAM v SEC
8
Natural Gas
8
Non-Convertible Debt Securities
8
OCR
8
Offering Documents
8
Personal Data
8
Pooled Investment Vehicles
8
PRA
8
Public Employees
8
Regulation Technical Standards (RTS)
8
Regulatory Oversight
8
Rule 15B9-1
8
Section 17(a)
8
Section 5
8
Seed Financing
8
Sentencing
8
Settlements
8
Small Cap Stocks
8
South Africa
8
Strict Liability
8
Successor Liability
8
Tax Reform
8
Testimonial Statements
8
Trade Market Abuse
8
Trust Preferred Securities
8
U.S. Commerce Department
8
Voting Rights
8
Willful Misconduct
7
Aiding and Abetting
7
American Petroleum Institute
7
Arbitrage
7
Article III
7
Auto Manufacturers
7
Block Chain
7
Block Trades
7
Breach of Contract
7
Business Judgment Rule
7
Capital One
7
Chadbourne & Parke LLP v Troice
7
Charitable Donations
7
Commercial Real Estate Market
7
Commodity Futures Contracts
7
Common Stock
7
Compelled Speech
7
Competition
7
Congressional Investigations & Hearings
7
Consultation
7
Controlling Stockholders
7
Cooperation Initiative
7
Corporate Executives
7
Corporate Financing
7
Corporate Fraud
7
Counterparties
7
Data Breach Plans