Browse Related Topics For:

Securities & Exchange Commission

752
Compliance
703
Dodd-Frank
420
JOBS Act
414
Enforcement Actions
371
FCPA
356
Disclosure Requirements
347
Enforcement
342
DOJ
287
CFTC
258
Broker-Dealer
253
Investment Adviser
245
Whistleblowers
241
FINRA
232
Fraud
222
General Solicitation
196
Rule 506 Offerings
190
Securities Exchange Act
178
Conflict Mineral Rules
175
Insider Trading
173
Regulation D
167
Crowdfunding
151
Reporting Requirements
144
Investors
135
Securities Act of 1933
127
Advertising
119
Accredited Investors
119
Cybersecurity
119
Settlement
115
Swaps
111
Banks
111
Federal Reserve
111
Securities Fraud
108
Registration
103
Mary Jo White
103
Social Media
101
FDIC
100
CFPB
97
Securities
96
Hedge Funds
95
Audits
95
EU
94
Rule 144A
87
Private Placements
85
OCC
82
Bad Actors
82
Executive Compensation
81
Investment Advisers Act of 1940
80
Bribery
80
Chief Compliance Officers
80
SCOTUS
77
OCIE
74
FCPA Resource Guide
72
Sarbanes-Oxley
70
IPO
68
Board of Directors
68
Nasdaq
68
Private Equity
67
NYSE
67
Risk Management
66
Due Diligence
66
Startups
65
China
63
Shareholders
63
Volcker Rule
62
Money Market Funds
61
Data Protection
60
First Amendment
60
Investment Company Act of 1940
59
Popular
58
Anti-Corruption
58
No-Action Letters
58
Regulation FD
57
Compensation Committee
57
Corporate Counsel
56
Mortgages
55
Public Disclosure
55
Whistleblower Awards
55
Whistleblower Protection Policies
54
Investigations
53
Class Action
53
Retaliation
52
Exemptions
51
Municipal Advisers
51
Risk Assessment
50
Corporate Governance
49
Brokers
49
FHFA
49
Statute of Limitations
48
Derivatives
48
Marketing
48
RMBS
47
Deferred Prosecution Agreements
47
Facebook
47
Financial Regulatory Reform
47
Municipal Bonds
47
Municipalities
46
Regulation A
45
CEOs
44
Citigroup
44
CPO
44
Pay Ratio
44
Say-on-Pay
43
Disclosure
43
Emerging Growth Companies
43
Private Funds
42
Conflicts of Interest
42
Netflix
42
Swap Dealers
42
Transparency
41
Cross-Border
39
Disgorgement
39
Fiduciary Duty
39
FTC
39
Mutual Funds
39
Penalties
39
Private Offerings
39
Public Offerings
38
PCAOB
38
Underwriting
38
White Collar Crimes
37
Investment Funds
36
Directors
36
ESMA
36
Form SD
36
FSOC
36
IRS
36
Sanctions
35
Gabelli v SEC
35
Security-Based Swaps
34
Data Breach
34
Final Rules
34
Ponzi Scheme
33
Collateralized Debt Obligations
33
Custody Rule
33
Issuers
33
Securities Litigation
32
Listing Standards
32
Proposed Regulation
32
Recordkeeping Requirements
32
Rule 10b-5
31
Publicly-Traded Companies
31
Regulation S-K
31
Resource Extraction
30
Fees
30
Foreign Banks
30
Neither Admit Nor Deny Settlements
30
SEC v Citigroup
30
U.S. Treasury
29
Anti-Retaliation Provisions
29
Asset Management
29
Corruption
29
Ethics
29
Filing Requirements
29
Manufacturers
29
New Regulations
29
Oil & Gas
29
Proxy Voting Guidelines
29
Stocks
28
Major Swap Participants
28
NAM
28
Private Equity Funds
27
Fund Managers
27
Judge Rakoff
27
MCDC
27
Misrepresentation
27
NEP
27
No-Action Relief
27
Non-Prosecution Agreements
27
Rating Agencies
26
Bitcoins
26
Canada
26
Civil Monetary Penalty
26
Criminal Prosecution
26
Employer Liability Issues
26
Internal Investigations
26
JPMorgan Chase
26
Proxy Statements
26
Small Business
25
Appeals
25
Discovery Rule
25
FinCEN
25
Form D Filing
25
Shareholder Litigation
24
Asset-Backed Securities
24
Deadlines
24
Internal Controls
24
Municipal Securities Issuers
24
NAV
24
UK
23
Anti-Bribery
23
Cyber Attacks
23
GAAP
23
NFA
23
Pay-To-Play
23
Twitter
23
Venture Capital
23
Virtual Currency
22
HUD
22
Identity Theft
22
Mortgage-Backed Securities
22
Proposed Legislation
22
Self-Reporting
21
EDGAR
21
Foreign Official
21
Goldman Sachs
21
Proxy Advisors
21
Qualified Mortgage Rule
21
Reed Hastings
21
Safe Harbors
21
Title III
21
UK Bribery Act
21
Valuation
20
Banking Sector
20
Commodity Pool
20
EB-5
20
Fannie Mae
20
Foreign Investment
20
High Frequency Trading
20
Investment Management
20
ISS
20
Liquidity Fees
20
MSRB
20
Proprietary Trading
20
Short Sales
19
Bank of America
19
Barack Obama
19
Books & Records
19
Credit Ratings
19
ETFs
19
Funding
19
Libor
19
NRSRO
19
Pensions
19
Training
18
Regulation AB
18
Richard Cordray
18
Stress Tests
18
Third-Party
17
AIFMD
17
Anti-Money Laundering
17
Bonds
17
CEA
17
FCA
17
Fines
17
Healthcare
17
Hurricane Sandy
17
Iran Threat Reduction and Syria Human Rights Act
17
Natural Resources
17
Professional Liability
17
Redemption Gates
16
Administrative Procedure Act
16
Freddie Mac
16
Misappropriation
16
Municipal Securities Market
15
Accounting Fraud
15
Basel III
15
Chevron Deference
15
Class Certification
15
Consent Decrees
15
Disqualification
15
Financial Reporting
15
Financial Statements
15
Golden Parachutes
15
Hiring & Firing
15
Interlocutory Appeals
15
Iran Sanctions
15
Minerals
15
Money Laundering
15
Rule 506(c)
15
Subsidiaries
14
Annual Reports
14
Arbitration
14
Corporate Officers
14
Derivative Suit
14
DOL
14
ERISA
14
Financial Services Authority
14
Form 10-K
14
Hong Kong
14
Jurisdiction
14
Notice Requirements
14
Ralph Lauren
14
Risk Retention
14
Scienter
14
Sequestration
14
Visas
14
Wages
13
Asset Valuations
13
Capital Markets
13
EMIR
13
European Commission
13
Fraud-on-the-Market
13
GAO
13
Independence Rules
13
Insurers
13
Investment Companies
13
Mergers
13
NCUA
13
NIST
13
OFAC
13
OTC
13
Political Contributions
13
Preemption
13
Proxy Season
13
SEFs
13
Siemens
13
Student Loans
12
Auditors
12
Cross-Border Transactions
12
CTA
12
D&O Insurance
12
Diversity
12
Extraterritoriality Rules
12
FBI
12
Federal Budget
12
FHA
12
Foreign Exchanges
12
Loans
12
Mining
12
Morgan Stanley
12
Personal Jurisdiction
12
Red Flags Rule
12
Regulation M
12
SIFIs
12
SIFMA
12
Supply Chain
12
USCIS
11
Admissions of Liability
11
Bank Holding Company Act
11
Bank Secrecy Act
11
Capital Requirements
11
Corporate Culture
11
False Claims Act
11
Foreclosure
11
Funding Portal
11
Guidance Update
11
Halliburton
11
Halliburton v Erica P. John Fund
11
Liability
11
Market Participants
11
Material Nonpublic Information
11
Offerings
11
Personal Liability
11
Pharmaceutical
11
Proposed Amendments
11
Wall Street
10
10b5-1 Plans
10
AIFM
10
Annual Filings
10
Attorney-Client Privilege
10
Bernie Madoff
10
C-Suite Executives
10
Dark Pool
10
Dismissals
10
Employee Benefits
10
Filing Deadlines
10
Financial Conduct Authority
10
Finders
10
Foreign Corporations
10
Hewlett-Packard
10
Misleading Statements
10
NASAA
10
Portfolio Managers
10
Privacy Policy
10
REIT
10
Remediation
10
Rule 156
10
SFO
10
Shareholder Activism
10
Summary Judgment
10
Title IV
10
Trust Preferred Securities
10
Verification Requirements
9
Acquisitions
9
Affiliates
9
Affordable Care Act
9
Amgen Inc. v Connecticut Retirement Plans
9
Blue Sky Laws
9
Clearing Agencies
9
Email
9
EPA
9
European Banking Authority
9
False Statements
9
FATCA
9
FCMs
9
Financing
9
Futures
9
Government Shutdown
9
Injunctions
9
IOSCO
9
Moody's
9
New Legislation
9
Non-Enforcement
9
Privacy Laws
9
Private Investment Funds
9
Prospectus
9
Retirement Plan
9
Rulemaking Process
9
SEC Commissioner
9
Shareholder Votes
9
Tax-Exempt Bonds
9
Technology
9
TILA
9
Trade Secrets
8
Ability-to-Repay
8
Administrative Hearings
8
Africa
8
Breach of Duty
8
Commodities
8
Condominiums
8
Confidential Information
8
Cyber Insurance
8
Eli Lilly
8
EMMA
8
Exchange-Traded Products
8
FCRA
8
FERC
8
Floating NAV
8
Foreign Nationals
8
Form 8-K
8
Hackers
8
Income Taxes
8
Information Sharing
8
Lawson v FMR
8
Lehman Brothers
8
Minimum Contacts
8
OSC
8
Patents
8
Policy Violations
8
Real Estate Market
8
Risk Mitigation
8
Section 10(b)
8
SLUSA
8
Social Media Policy
8
Strategic Enforcement Plan
8
Structured Financial Products
8
Subpoenas
8
Supervisors
8
Wells Notice
7
Administrative Appointments
7
Alternative Trading Systems
7
Arbitration Agreements
7
Australia
7
Automotive Industry
7
Basel Committee
7
Bear Sterns
7
Best Management Practices
7
Bundling Rules
7
C&DIs
7
Chadbourne & Parke LLP v Troice
7
Chamber of Commerce
7
CME
7
CMS
7
Continuity of Enterprises
7
COSO
7
Debt
7
DHS
7
Economic Development
7
Energy
7
FFIEC
7
FIRREA
7
Fitch
7
Fundraisers
7
GlaxoSmithKline
7
Gramm-Leach-Blilely Act
7
Instrumentality
7
Internal Audit Functions
7
Investor Protection
7
Jury Verdicts
7
Medicare
7
Motion To Stay
7
National Association of Manufacturers
7
New Amendments
7
Nonbank Firms
7
Officers
7
Prejudgment Interest
7
Proxies
7
Proxy Solicitations
7
Public Comment
7
Qualified Institutional Buyers
7
Ranieri Partners
7
Regulation Z
7
Reverse Mergers
7
S&P
7
SAC Capital
7
Section 17(a)
7
Securitization Vehicles
7
Self-Regulatory Organizations
7
Sentencing
7
Spending Cuts
7
Stock Trades
7
Tax Reform
7
Tender Offers
7
Title VII
7
UBS
7
Waivers
6
Accounting
6
Allianz
6
Alternative Investment Funds
6
Amended Regulation
6
Annual Meeting
6
Asset Diversification
6
Bank Holding Company
6
Bank of England
6
BrokerCheck
6
Business Development Companies
6
Cease and Desist
6
CISPA
6
Confidentiality Agreements
6
Contractors
6
Cooperation Initiative
6
Cybersecurity Framework
6
Derivatives Clearing Organizations
6
Discovery
6
Distributors
6
Electronic Communications
6
Escrow Accounts
6
Evidence
6
FCC
6
FCPA Guidance
6
FDA
6
Foreign Private Issuers
6
Form PF
6
Free Speech
6
FSB
6
Fundersclub.com
6
Hart-Scott-Rodino Act
6
Indemnification
6
Kickstarter
6
Legislative Agendas
6
LLC
6
Loss Causation
6
Mark Cuban
6
Medical Devices
6
Nominations
6
OIG
6
Payday Loans
6
Political Appointments
6
Privately Held Corporations
6
Raj Rajaratnam
6
Recess Appointments
6
Regulation S-X
6
Risk Alert
6
Robocalling
6
Roundtable
6
Sales
6
Smith & Wesson
6
Solar Energy
6
Sports
6
STOCK Act
6
Third-Party Risk
6
U.S. Commerce Department
6
Voluntary Disclosure
5
401k
5
Accounting Controls
5
Apple
5
Attorney Generals
5
Attorney's Fees
5
BIS
5
Certifications
5
CFOs
5
Charitable Donations
5
Clawbacks
5
Code of Conduct
5
Commercial Bankruptcy
5
Commercial Real Estate Market
5
Commodities Exchange Act
5
Compensation Consultant
5
Consumer Protection Act
5
Controlling Stockholders
5
Corporate Gifts
5
Corporate Issuers
5
Countrywide
5
Credit Cards
5
Customs
5
Debt Ceiling
5
Decimalization
5
Deutsche Bank
5
Diebold Inc
5
Duty to Disclose
5
eBay
5
Employment Policies
5
En Banc Review
5
Entrepreneur Access to Capital Act
5
Executive Orders
5
Export Controls
5
Exports
5
Expungement
5
Fair Lending
5
FEC
5
Filing Fees
5
Financial Accounting Standards Board
5
Form ADV
5
Generic
5
Government Officials
5
Hotels
5
Immigrants
5
Immigration Reform
5
Incentives
5
Institutional Investment
5
Internet
5
Iran
5
Japan
5
Joint Venture
5
Jury Trial
5
Licenses
5
Margin Requirements
5
Market Manipulation
5
Memorandum of Understanding
5
Multinationals
5
Negligence
5
NLRB
5
Non-Judicial Settlement Agreements
5
NSA
5
OMB
5
Prudential Regulation Authority
5
PSLRA
5
Renewable Energy
5
RESPA
5
Rule 15a-6
5
SEC v Straub
5
Secondary Markets
5
Securitization
5
Senate Banking Committee
5
Shareholder Proposals
5
Shareholder Rights
5
Social Networks
5
Stock Options
5
Subcontractors
5
Termination
5
Terra Telecommunications
5
Tolling
5
Too Big to Fail
5
Trustees
5
UCITS
5
USDA
5
Ways and Means Committee
4
Admissions
4
Affirmative Action
4
Algorithmic Trading
4
ALJ
4
American Petroleum Institute
4
AngelList
4
Antitrust Litigation
4
AQM
4
Asia
4
Avon
4
Bad Faith
4
Basic v Levinson
4
Breach Notification Rule
4
Business Judgment Rule
4
Bylaws
4
CalPERS
4
Causation
4
CBOE
4
CII
4
Congressional Investigations & Hearings
4
Consultation
4
COPPA
4
Corporate Financing
4
Corporate Financing Rule
4
Corporate Sales Transactions
4
Corporate Social Responsibility
4
Corporate Taxes
4
Credit Suisse
4
Creditors
4
Criminal Sanctions
4
Critical Infrastructure Sectors
4
Daniel Gallagher
4
Data Collection
4
Disaster Aid
4
Disaster Preparedness
4
Disciplinary Proceedings
4
Discipline
4
Discrimination
4
Documentation
4
DOMA
4
DSIO
4
Due Process
4
EEOC
4
Electronic Blue Sheets
4
Eligible Contract Participant
4
Elisse B. Walter
4
Entrepreneurs
4
Equity Markets
4
Equity Securities
4
Family Offices
4
Farm Bill
4
FASB
4
FBAR
4
Federal Sentencing Guidelines
4
Fifth Amendment
4
Financial Adviser
4
Financial Crimes
4
Financial Markets
4
Foreign Affiliates
4
Foreign Entities
4
Foreign Subsidiaries
4
Form 13F
4
Fracking
4
FRB
4
Green Cards
4
HHS
4
Hospitality Industry
4
HSBC
4
Human Rights
4
IBM
4
Illegal Tipping
4
Infrastructure
4
Investment Fraud
4
ISDA
4
Kickbacks
4
Latin America
4
Legal Perspectives
4
Lenders
4
Limited Partnerships
4
LiquidAlts
4
Liquidation
4
Liquidity Coverage Ratio
4
Lying
4
Magyar Telekom
4
Mandatory Clearing Requirements
4
Material Misstatements
4
Merrill Lynch
4
Middle East
4
Mobile Apps
4
Mobile Devices
4
Mobile Payments
4
Moratorium
4
Motion to Dismiss
4
MSBSPs
4
Natural Disasters
4
Natural Gas
4
Negligent Misrepresentation
4
Net Capital Rule
4
OECD
4
Parker Drilling Company
4
Partnerships
4
Pay-for-Performance
4
Personally Identifiable Information
4
Pooled Investment Vehicles
4
Protected Activity
4
Proxy Contests
4
Public Employees
4
Rajat Gupta
4
Real Estate Investments
4
Regulation SCI
4
Retirement
4
RICs
4
SEC v Sharef
4
Section 1504
4
Self-Disclosure Requirements
4
Severance Pay
4
SIPC
4
Standing
4
Subprime Mortgages
4
Suppliers
4
TARP
4
Tax Evasion
4
Testimonial Statements
4
Title II
4
Total SA
4
Transfer Agents
4
US v Esquenazi
4
Websites
4
Wells Fargo
4
WKSIs
3
Adverse Employment Action
3
Agents
3
Amgen
3
Angel Investors
3
Antidumping Duties
3
Appraisal
3
Arbitrators
3
Assignments
3
ATMs
3
Bank Fraud
3
Banking Crisis
3
Biotechnology
3
BizJet
3
Blogs
3
Borrowers
3
Canadian Securities Administration
3
CFPOA
3
Class Action Arbitration Waivers
3
Clearing Agents
3
Community Banks
3
Compensation & Benefits
3
Competition
3
Complex Financial Products
3
Complex Litigation
3
Comptroller
3
Confirmation Proceedings
3
Conspiracies
3
Controlled Foreign Corporations
3
Conversion
3
Convertible Debt
3
Corporate Fraud
3
Covenant of Good Faith and Fair Dealing
3
Credit Default Swaps
3
Credit Rating Agencies
3
Credit Reports
3
Criminal Conspiracy
3
CRQA
3
De Minimis Claims
3
Debt Collection
3
Delays
3
Detroit
3
Divorce
3
Document Productions
3
DOD
3
DOE
3
Duty to Defend
3
E-Commerce
3
EEA
3
EGCs
3
EHR
3
Electronic Trading
3
Employment Contract
3
End-Users
3
Energy Exploration
3
Enron
3
Environmental Policies
3
Equitable Relief
3
Ernst & Young
3
European Central Bank
3
Exemptive Relief
3
Extensions
3
Failure to Notify
3
False Advertising
3
False Reporting
3
Falsified Documents
3
Fee-Shifting Statutes
3
Felons
3
Final Guidance
3
Financial Institutions
3
Financial Products
3
FINRA Hearing Panel
3
Flash Boys
3
Flood Insurance
3
FOMC
3
Foreign Defendants
3
Foreign Equity Securities
3
Foreign Markets
3
Forum
3
Frozen Assets
3
FTCA
3
FX Forwards
3
FX Swaps
3
George Canellos
3
Government Investigations
3
Gun Laws
3
Gun Manufacturers
3
Harbinger Capital Partners LLC
3
Hedging
3
Hospitals
3
Human Trafficking
3
ICE
3
ICFR
3
IFRS
3
Immigrant Investment Visas
3
Indictments
3
Indiegogo
3
Interest Rates
3
Intermediaries
3
Investment Advisory Agreements
3
Investment Company Act
3
Investment Portfolios
3
Issuer Exemption
3
Jamie Dimon
3
Janus Capital Group
3
KPMG
3
Legal Entity Identifiers
3
Lending
3
Leveraged Loans
3
Life Sciences
3
Liquidnet
3
Living Will
3
Lobbying
3
Lost Securities Holders
3
Material Disclosures
3
Military Service Members
3
Mineral Extraction
3
MOFCOM
3
Mortgage Loan Servicing Standards
3
Mortgage Servicing Rules
3
Motion to Compel
3
MTFs
3
Municipal Bankruptcy
3
National Mortgage Settlement
3
NDAA
3
Obama Administration
3
Office of Financial Research
3
Offshore Funds
3
Omnicare
3
Oracle
3
PACs
3
Passwords
3
Pfizer
3
Political Campaigns
3
Preferred Shares
3
Premerger Notifications
3
Prioritized Examination
3
Private Right of Action
3
Public Accounting Oversight Board
3
Public Officials
3
Public Schools
3
Pyramid Schemes
3
Qualified Client
3
Real Estate Development
3
Reasonableness Factors
3
Red Notices
3
Reimbursements
3
Reinsurance
3
Retail Market
3
Retailers
3
Right of Redemption
3
Royal Bank of Scotland
3
Rule 144 Opinion
3
Same-Sex Marriage
3
School Districts
3
Scottrade
3
SCRA
3
Self-Dealing
3
Severance Agreements
3
SIPA
3
SPVs
3
Stand-Alone SBSDs
3
Statutory Interpretation
3
Supervision
3
Surveillance
3
Third-Party Service Provider
3
Transaction Fees
3
Transaction-Based Compensation
3
Travel
3
Ukraine
3
Venture Funding
3
Virtual Goods
3
Voluntary Withdrawal
3
Wal-Mart
3
Wash Sale Rules
3
Wash Trades
3
Whistleblower Protection Enhancement Act
3
Wind Power
3
Work Product Privilege
3
XBRL Filing Requirements
2
"Rule 506(b)
2
16(b)
2
Actual or Constructive Knowledge
2
Advisory Opinions
2
Aerospace
2
Affiliated-Business Arrangements
2
Affirmative Defenses
2
Aggregation Rules
2
Aiding and Abetting
2
Akamai Technologies
2
Alternative Mutual Funds
2
America Invents Act
2
Annual Assessments
2
Annuities
2
Appropriations Bill
2
Arbitrage
2
Athletes
2
AU Optronics Corp
2
Australian Securities and Investments Commission
2
Auto Manufacturers
2
Automation Review Policy
2
Ballots
2
Barclays
2
Ben Bernanke
2
Beneficial Owner
2
Benefit Plan Sponsors
2
Big Data
2
Biofuel
2
Board of Trustees
2
Bonuses
2
BP
2
Brand
2
Breach of Contract
2
Broker Commissions
2
Burden of Proof
2
Burger King
2
Business Assets
2
Business Continuity Plans
2
Business Development
2
CAFA
2
Campaign Contributions
2
Cartels
2
CCPs
2
Certificates of Compliance
2
Change in Control
2
Charter Schools
2
Churning
2
Citizens United
2
Civil Forfeiture
2
Claim Preclusion
2
Clawback Agreements
2
Clean Energy
2
Clinical Trials
2
Cloud Computing