Browse Related Topics For:

Securities & Exchange Commission

1473
Enforcement Actions
1376
Dodd-Frank
1196
Compliance
932
Disclosure Requirements
752
FCPA
698
DOJ
690
Investment Adviser
665
JOBS Act
640
FINRA
634
Broker-Dealer
578
Whistleblowers
533
CFTC
522
Securities Exchange Act
444
Enforcement
441
Insider Trading
407
Popular
387
Cybersecurity
359
Crowdfunding
330
Reporting Requirements
328
Executive Compensation
324
Securities Fraud
321
Fraud
302
Investors
285
Publicly-Traded Companies
269
EU
269
Regulation D
264
Securities Act of 1933
255
Chief Compliance Officers
252
Securities
246
Conflict Mineral Rules
245
Proposed Regulation
242
General Solicitation
237
OCIE
234
Corporate Governance
229
Bribery
227
Banks
227
Regulation S-K
226
Shareholders
224
Whistleblower Awards
222
Rule 506 Offerings
219
Investment Advisers Act of 1940
214
Board of Directors
207
Accredited Investors
207
Corporate Counsel
205
Federal Reserve
205
Financial Institutions
195
Swaps
195
Whistleblower Protection Policies
193
Sarbanes-Oxley
186
FDIC
186
Settlement
182
Mary Jo White
179
Emerging Growth Companies
177
China
169
Financial Markets
169
Hedge Funds
167
Audits
167
Internal Controls
165
Fiduciary Duty
163
Derivatives
163
Regulation A
162
CFPB
159
Investment Funds
159
SCOTUS
154
Disgorgement
152
Startups
149
Conflicts of Interest
149
UK
146
Banking Sector
146
OCC
145
Proxy Statements
145
Registration
144
Final Rules
138
Criminal Prosecution
137
Due Diligence
137
No-Action Letters
137
Pay Ratio
137
Risk Management
135
Advertising
132
NYSE
132
Private Equity
129
PCAOB
128
Investment Company Act of 1940
128
Private Placements
127
Nasdaq
125
IPO
124
European Securities and Markets Authority (ESMA)
123
Anti-Corruption
122
Data Protection
122
Shareholder Proposals
121
Risk Assessment
120
White Collar Crimes
117
Confidentiality Agreements
117
Internal Investigations
116
Retaliation
116
Security-Based Swaps
115
Social Media
114
Mutual Funds
113
CEOs
112
Clawbacks
112
Data Breach
112
Sanctions
109
Municipal Advisers
109
Public Disclosure
108
Brokers
105
Administrative Proceedings
105
Civil Monetary Penalty
103
First Amendment
103
Small Business
102
Comment Period
102
Rule 144A
101
ALJ
101
Deferred Prosecution Agreements
101
GAAP
100
FinCEN
100
Money Market Funds
99
Class Action
99
Corporate Officers
99
Financial Statements
98
Administrative Hearings
98
Exemptions
98
Fixing America’s Surface Transportation Act (FAST Act)
96
Securities Litigation
95
Bad Actors
93
Corruption
93
Proposed Amendments
92
Investment Management
92
Private Equity Funds
92
Transparency
91
Public Offerings
90
MSRB
90
Municipal Bonds
90
RMBS
90
Volcker Rule
89
Anti-Money Laundering
89
Form 10-K
88
Financial Conduct Authority (FCA)
87
Registration Requirement
84
Appeals
83
Cyber Attacks
82
Directors
82
Recordkeeping Requirements
81
Anti-Retaliation Provisions
80
Employer Liability Issues
80
ETFs
80
Filing Requirements
80
Financial Reporting
79
FCPA Resource Guide
79
Strategic Enforcement Plan
78
IRS
78
Resource Extraction
78
Swap Dealers
77
Cease and Desist Orders
77
FTC
77
Oil & Gas
76
Ethics
74
DOL
74
Private Funds
73
Funding Portal
73
Investment Companies
73
No-Action Relief
73
Offerings
72
Capital Formation
72
Capital Raising
72
Disclosure
71
Incentive Compensation
70
Penalties
69
High Frequency Trading
69
KBR (formerly Kellogg Brown & Root)
69
Mortgages
68
EDGAR
68
Financial Regulatory Reform
68
Foreign Official
68
Pay-To-Play
68
Private Offerings
67
Auditors
67
C-Suite Executives
67
Misappropriation
67
Proxy Season
66
Compensation Committee
66
FHFA
66
Hong Kong
66
New Regulations
66
Non-GAAP Financial Measures
66
Ponzi Scheme
66
Registered Investment Advisors
66
Statute of Limitations
65
Bitcoin
65
Books & Records
65
Material Nonpublic Information
65
Risk Alert
65
U.S. Treasury
64
FSOC
63
Data Security
63
Fund Managers
63
Misrepresentation
63
Municipalities
63
Stocks
62
Rating Agencies
62
Self-Reporting
62
Underwriting
61
Asset Management
61
ERISA
61
New Guidance
61
Regulation FD
61
US v Newman
60
Listing Standards
60
Venture Capital
59
Capital Markets
59
Cross-Border
59
Form SD
59
Pay-for-Performance
58
Appointments Clause
58
C&DIs
58
Illegal Tipping
58
Rule 21F
58
Say-on-Pay
57
Custody Rule
57
EB-5
57
Facebook
57
Investigations
57
Municipal Securities Issuers
56
Canada
56
Citigroup
56
Non-Prosecution Agreements
55
Confidential Information
55
Safe Harbors
54
Australia
54
Marketing
54
Rule 10b-5
54
Rulemaking Process
53
Asset-Backed Securities
53
Bank Secrecy Act
53
Hackers
53
Proxy Voting Guidelines
52
Acquisitions
52
ISS
52
Pharmaceutical Industry
51
European Commission
51
Fees
51
Financial Sector
51
Personal Benefit
51
Public Comment
51
Virtual Currency
50
Breach of Duty
50
Government Investigations
50
Hedging
50
Investment
50
MCDC
50
Neither Admit Nor Deny Settlements
49
Market Manipulation
49
Personally Identifiable Information
49
Policies and Procedures
49
Proxy Access Rule
49
Securities Violations
49
Shareholder Litigation
48
CPO
48
Prudential Regulation Authority
48
Total Shareholder Return (TSR)
47
Anti-Bribery
47
Political Contributions
47
Severance Agreements
47
Wal-Mart
46
False Statements
46
Internal Reporting
46
JPMorgan Chase
46
Major Swap Participants
45
Amended Regulation
45
Annual Reports
45
Data Privacy
45
NFA
45
Proposed Legislation
45
SEC Examination Priorities
44
Initial Public Offerings
44
Offering Fraud
43
Foreign Investment
43
Judge Rakoff
43
Mergers
43
Money Laundering
43
Preemption
43
Unregistered Brokers
42
Hiring & Firing
42
Retirement Plan
42
Stress Tests
41
Administrative Procedure Act
41
AIFMD
41
Audit Committee
41
Cross-Border Transactions
41
Dark Pool
41
Manufacturers
41
NAM
41
Training
41
Young Lawyers
40
Arbitration
40
Cease and Desist
40
Form 8-K
40
Goldman Sachs
40
Guidance Update
40
Jurisdiction
40
Libor
40
Morgan Stanley
40
Mortgage-Backed Securities
40
Personal Liability
40
Regulation S-X
40
Risk Retention
40
Small Offering Exemptions
40
UK Bribery Act
39
Foreign Banks
39
Municipal Securities Market
38
Bonds
38
Chevron Deference
38
Exchange-Traded Products
38
Netflix
38
Third-Party
37
Accounting Fraud
37
False Claims Act (FCA)
37
IOSCO
37
NAV
37
Pensions
37
Yates Memorandum
36
Blue Sky Laws
36
Capital Requirements
36
Cooperation
36
Corporate Culture
36
Corporate Issuers
36
Fines
36
Material Misstatements
36
Proxy Advisors
36
Rule 14a-8
36
Title III
35
Collateralized Debt Obligations
35
Diversity
35
Form ADV
35
Investor Protection
35
Margin Requirements
35
Regulatory Agenda
35
SIFMA
35
Valuation
34
Business Development Companies
34
Foreign Private Issuers
34
Registration Statement
33
Bylaws
33
Commodities
33
Gabelli v SEC
33
Insurance Industry
33
OFAC
33
Shareholder Activism
33
Subsidiaries
33
Waivers
32
BSA/AML
32
Risk Mitigation
32
Scienter
31
Best Practices
31
EBITDA
31
EMIR
31
Form D Filing
30
EEOC
30
FASB
30
Healthcare
30
Industry Examinations
30
Market Participants
30
Portfolio Managers
30
Prejudgment Interest
30
Price Manipulation
30
Tender Offers
29
Basel Committee
29
Credit Ratings
29
Deadlines
29
Derivative Suit
29
HUD
29
Meals-Gifts-and Entertainment Rules
29
Mining
29
OTC
29
Regulation S-P
29
REIT
29
Rule 506(c)
29
Whole Foods
28
Algorithmic Trading
28
Article II
28
Cyber Threats
28
Due Process
28
NASD
28
Proprietary Trading
28
Proxy Access
28
Regulation AB
28
Rule 147
28
Structured Financial Products
28
Suspicious Activity Reports
27
Avon
27
Bank of America
27
Broken Windows
27
CME
27
Commercial Bankruptcy
27
D&O Insurance
27
Discovery
27
IFRS
27
Permanent Injunctions
27
SEC v Citigroup
26
Bank of New York (BNY) Mellon
26
Deutsche Bank
26
Employee Benefits
26
Equity Securities
26
European Banking Authority
26
Liquidity Fees
26
S&P
26
Twitter
26
Voluntary Disclosure
26
XBRL Filing Requirements
25
Alternative Trading Systems
25
Commodity Pool
25
Disqualification
25
Federal Pilot Programs
25
Foreign Nationals
25
Foreign Subsidiaries
25
Funding
25
GAO
25
Liquidity
25
NIST
25
NRSRO
25
OECD
25
Professional Liability
25
Regulation SCI
25
Regulatory Standards
25
Serious Fraud Office
25
Third-Party Service Provider
25
Unregistered Securities
24
Attorney-Client Privilege
24
Entrepreneurs
24
FFIEC
24
Identity Theft
24
Median Employee
24
NEP
24
Privately Held Corporations
24
Qualified Mortgage Rule
24
Section 10(b)
24
Short Sales
24
Websites
23
Annual Meeting
23
Bank Holding Company
23
Class Certification
23
Cyber Crimes
23
Enforcement Statistics
23
Federal Register
23
Financial Services Industry
23
Injunctions
23
Investment Fraud
23
Investment Portfolios
23
Minerals
23
NCUA
23
Redemption Gates
23
Securitization
23
Summary Judgment
23
Threshold Requirements
23
Vendors
23
Wire Fraud
22
Basel III
22
CPOs
22
CTA
22
Discovery Rule
22
Employment Contract
22
Energy Sector
22
Financing
22
Futures
22
Iran Sanctions
22
Legislative Agendas
22
NASAA
22
Preliminary Injunctions
22
Securities Exchanges
22
SIFIs
22
Spoofing
22
Supply Chain
21
Asset Valuations
21
CEA
21
Code of Conduct
21
Dismissals
21
Fannie Mae
21
Forum Selection
21
Individual Accountability
21
Information Sharing
21
Liquidity Risk Management Rule
21
Medical Devices
21
Misleading Statements
21
Moody's
21
NLRB
21
USCIS
21
Wells Notice
20
Alternative Investment Funds
20
Bebo v SEC
20
Business Continuity Plans
20
Commodities Exchange Act
20
Criminal Conspiracy
20
Cyber Insurance
20
Filing Deadlines
20
Freddie Mac
20
Hart-Scott-Rodino Act
20
Indictments
20
Internet
20
Japan
20
Loans
20
Motion to Dismiss
20
Natural Resources
20
Reed Hastings
20
Shareholder Votes
20
Subpoenas
19
Affiliates
19
Automotive Industry
19
Barclays
19
Beneficial Owner
19
CFOs
19
Chamber of Commerce
19
Currency Transaction Reports (CTR)
19
Debt Securities
19
EBA
19
Fee-Shifting
19
Fraud-on-the-Market
19
Glass Lewis
19
Golden Leash Arrangements
19
Government Officials
19
Multinationals
19
Notice Requirements
19
Ontario Securities Commission (OSC)
19
Pending Legislation
19
Pump and Dump
19
Real Estate Investments
19
Schedule 13D
19
SEFs
19
Siemens
19
UK Brexit
19
Wells Fargo
18
Accounting
18
Corporate Social Responsibility
18
Equal Protection
18
Failure To Disclose
18
FBI
18
FCC
18
FCMs
18
Foreign Corporations
18
Foreign Exchanges
18
Golden Parachutes
18
Halliburton
18
Interim Rule
18
ISDA
18
New Legislation
18
Prospectus
18
Proxy Materials
18
Qualified Client
18
Retirement
18
Stock Exchange
18
Subject Matter Jurisdiction
18
Tier 2 Offerings
18
Visas
18
Wall Street
17
Accounting Controls
17
Affordable Care Act
17
Amnesty International
17
Barack Obama
17
CDIs
17
Equity Financing
17
Equity Markets
17
European Central Bank
17
Exemptive Relief
17
FCRA
17
FDA
17
Finders
17
Goodyear
17
Iran Threat Reduction and Syria Human Rights Act
17
Joint Venture
17
Kickbacks
17
Merrill Lynch
17
MiFID II
17
Real Estate Market
17
Remediation
17
Securities Act
17
Settlement Agreements
17
Trade Secrets
17
Trading Platforms
16
Alstom
16
Bank Holding Company Act
16
Clearing Agencies
16
Collateralized Loan Obligations
16
Corporate Crimes
16
En Banc Review
16
Examination Priorities
16
Extraterritoriality Rules
16
Fifth Amendment
16
Floating NAV
16
Form S-1
16
Halliburton v Erica P. John Fund
16
Independence Rules
16
Injunctive Relief
16
Institutional Investors
16
Life Insurance
16
Patents
16
Patriot Act
16
Petition for Writ of Certiorari
16
Privacy Policy
16
Rule 506
16
Shareholder Rights
16
Smaller Reporting Companies
16
Supervision
16
Technology
16
Third-Party Risk
16
Tippees
16
Transfer Agents
16
UBS
15
Accounting Standards
15
Bank of England
15
BHP Billiton
15
BrokerCheck
15
COSO
15
Evidence
15
FATCA
15
Federal Sentencing Guidelines
15
Fixed Income Investments
15
FOIA
15
GlaxoSmithKline
15
Health Net
15
High Net-Worth
15
Intermediaries
15
Internal Audit Functions
15
Kickstarter
15
Management Fees
15
MiFID
15
PSLRA
15
Ralph Lauren
15
Regulation M
15
Rule 10D-1
15
SAR
15
Section 10D
15
Shareholder Approval
15
Stock Trades
15
Technology Sector
15
Wage and Hour
15
Wages
14
ASIC
14
Bank Fraud
14
Brazil
14
Consent Decrees
14
Corporate Misconduct
14
Cyber Incident Reporting
14
Data Collection
14
Debt
14
Economic Development
14
Federal Contractors
14
Financial Services Authority
14
Fitch
14
FSB
14
Indemnification
14
Interlocutory Appeals
14
Internal Revenue Code (IRC)
14
Investment Banks
14
Investor Advisory Committee
14
Loss Causation
14
Payday Loans
14
Personal Jurisdiction
14
Policy Violations
14
Privacy Laws
14
Private Investment Funds
14
Regulation SHO
14
SEC Advisory Committee
14
Secondary Markets
14
Security Risk Assessments
14
SFO
14
SLUSA
14
Standing
14
Variable Annuities
14
Yahoo!
13
401k
13
ABS
13
AIFM
13
Apple
13
Climate Change
13
CMBS
13
Construction Industry
13
Credit Suisse
13
Delaware General Corporation Law
13
Early Stage Companies
13
Export Controls
13
Fair Housing Act (FHA)
13
False Advertising
13
Federal Rules of Civil Procedure
13
Financial Adviser
13
Financial Crisis
13
FinTech
13
Foreign Issuers
13
Form PF
13
General Electric
13
Germany
13
Hewlett-Packard
13
Incident Response Plans
13
Material Disclosures
13
Negligence
13
OIG
13
Olympics
13
Ordinary Business Exception
13
Petrobras
13
Portfolio Companies
13
Qualified Purchaser
13
Retailers
13
Russia
13
Seventh Amendment
13
Telecommunications
13
Termination
13
Title VII
13
UCITS
13
Wrongful Termination
12
Administrative Appointments
12
Advisory Contracts
12
Alternative Mutual Funds
12
Annual Filings
12
Asia
12
Best Management Practices
12
BitLicense
12
Criminal Investigations
12
Data Loss Prevention
12
Derivatives Clearing Organizations
12
Disruptive Trading Practices
12
Eli Lilly
12
Email
12
Equity Compensation
12
Foreign Workers
12
Form N-PORT
12
Guilty Pleas
12
Health Care Providers
12
HSBC
12
Human Rights
12
Income Taxes
12
Information Reports
12
IRA
12
Judicial Review
12
Merger Agreements
12
New Amendments
12
Nonbank Firms
12
Omissions
12
OSHA
12
Oxfam America
12
Professional Conferences
12
Red Flags Rule
12
Related Parties
12
SEC Commissioner
12
Securities Regulation
12
Security and Privacy Controls
12
Split of Authority
12
Student Loans
12
Title IV
12
Transacting Intrastate Business
11
Admissions of Liability
11
Adverse Employment Action
11
Asset Diversification
11
Bernie Madoff
11
Big Data
11
BIS
11
CBOE
11
Community Banks
11
Condominiums
11
Corporate Fines
11
Depositions
11
Division of Investment Management
11
Electronic Communications
11
EMMA
11
Excessive Fees
11
FCPA Guidance
11
Form N-Cen
11
Free Speech
11
Hitachi
11
Hong Kong Securities and Futures Commission (HKSFC)
11
Hurricane Sandy
11
ICFR
11
Interest Rates
11
Jury Verdicts
11
Lehman Brothers
11
Limited Partnerships
11
Liquidity Coverage Ratio
11
Management Proposals
11
Motion To Stay
11
National Futures Association
11
Non-Disclosure Agreement
11
NPRM
11
Offering Statements
11
Omnicare v Laborers District Council
11
Online Marketplace Lending
11
Performance Fee Rule
11
Protected Activity
11
Proxy Solicitations
11
Pyramid Schemes
11
Qualcomm
11
Real Estate Development
11
Red Notices
11
Referendums
11
Registered Investment Companies (RICs)
11
Regulation S
11
Regulatory Oversight
11
Rule 156
11
Rules of Practice
11
Smith & Wesson
11
Social Media Policy
11
Stock Options
11
Tax-Exempt Bonds
11
Transaction Fees
11
Trustees
11
Unfair or Deceptive Trade Practices
11
Verification Requirements
10
10b5-1 Plans
10
Africa
10
AICPA
10
Akamai Technologies
10
American Meat Institute
10
Angel Investors
10
Asset Freeze
10
Attorney Generals
10
Attorney's Fees
10
Background Checks
10
Bio-Rad Laboratories
10
Business Development
10
CalPERS
10
Campaign Contributions
10
Cloud Computing
10
Consent Order
10
Consumer Protection Act
10
Corporate Criminal Fines
10
Director Compensation
10
Discrimination
10
Duty to Disclose
10
Employees
10
Family Offices
10
FIFA
10
Filing Fees
10
Financial Crimes
10
Financial Restatements
10
Forex
10
Forfeiture
10
Form 10-Q
10
Gramm-Leach-Blilely Act
10
Green Cards
10
HHS
10
Job Creation
10
Life Sciences
10
Mandatory Arbitration Clauses
10
Mineral Extraction
10
National Association of Manufacturers
10
Non-Public Information
10
Non-US Entities
10
NYDFS
10
Obama Administration
10
Omnicare
10
Oppenheimer & Co.
10
Outsourcing
10
Pleading Standards
10
Pooled Investment Vehicles
10
Prescription Drugs
10
Professional Misconduct
10
Public Officials
10
Puerto Rico
10
Qualified Institutional Buyers
10
Regulation C
10
Regulation Z
10
Richard Cordray
10
Section 11
10
Self-Disclosure Requirements
10
Self-Regulatory Organizations
10
Social Networks
10
Solar Energy
10
Sports
10
Swap Data Repositories
10
Tick Size
10
Truth in Lending Act (TILA)
9
Accountants
9
Administrative Authority
9
Aiding and Abetting
9
Amgen Inc. v Connecticut Retirement Plans
9
Analytics
9
Appraisal
9
Article III
9
Asia Pacific
9
Auto Manufacturers
9
Block Chain
9
Breach Notification Rule
9
Bristol-Myers Squibb
9
Bundling Rules
9
CD&I
9
Comptroller
9
Consumer Lenders
9
Contract Terms
9
Controlling Stockholders
9
Corporate Executives
9
Corporate Gifts
9
Country of Origin
9
Credit Default Swaps
9
Credit Rating Agencies
9
Debt Collection
9
Declaratory Relief
9
Deloitte
9
Dirks v SEC
9
Distributors
9
Dividends
9
DSIO
9
Employee Training
9
EPA
9
EU Data Protection Laws
9
Exchange Offer
9
Exports
9
Extractive Industry Transparency Rule
9
FBAR
9
Foreclosure
9
Forward Contracts
9
Fundraisers
9
Gender Equity
9
Going-Private Transactions
9
Government Shutdown
9
Hospitality Industry
9
Hotels
9
Human Resources Professionals
9
Independent Contractors
9
Internships
9
Issuer Exemption
9
Item 402
9
Janus Capital Group
9
Jury Trial
9
Lawson v FMR
9
Layne Christensen Co
9
Liquidation
9
LLC
9
Member State
9
Mexico
9
Microsoft
9
Mortgage Lenders
9
Non-Convertible Debt Securities
9
Non-Enforcement
9
Pension Funds
9
Petition For Rehearing
9
Regulation G
9
Regulation Technical Standards (RTS)
9
Resale Exemption
9
Reverse Mergers
9
Rule 10(b)
9
Rule G-42
9
Safeguards Rule
9
Same-Sex Marriage
9
Securitization Vehicles
9
South Africa
9
Sovereign Wealth Funds
9
Strict Liability
9
Suspensions & Debarments
9
Swing Pricing
9
Tax Reform
9
Transaction-Based Compensation
9
Trinity Wall Street
9
US-EU Safe Harbor Framework
9
Voting Rights
9
WKSIs
8
Admissions
8
American Petroleum Institute
8
Annuities
8
Arbitration Agreements
8
Argentina
8
Bad Faith
8
Bear Sterns
8
Benefit Plan Sponsors
8
BlackRock
8
Block Trades
8
Breach of Contract
8
Bruker
8
Canadian Securities Administration
8
CD&A
8
Certifications
8
Class Action Arbitration Waivers
8
Commercial Real Estate Market
8
Commodity Futures Contracts
8
Compensation & Benefits
8
Compensation Agreements
8
Competition
8
Congressional Investigations & Hearings
8
Corp Fin
8
Corporate Financing
8
Cost-of-Living
8
Counterparties
8
Countrywide
8
Covered Entities
8
Credit Cards
8
Creditors
8
De Minimus Quantity Exemption
8
Declination
8
Delisting
8
Dow Jones
8
Electronic Blue Sheets
8
Electronic Trading
8
Employment Policies
8
Equity Plans
8
Ernst & Young
8
Executive Orders
8
False Reporting
8
Federal Budget
8
FIRREA
8
Foreign Affiliates
8
Foreign Currency
8
Foreign Entities
8
G-SIB
8
Health Insurance
8
HIPAA
8
Human Trafficking