Browse Related Topics For:

Securities Exchange Act

608
SEC
145
Dodd-Frank
141
Enforcement Actions
117
Broker-Dealer
104
Securities Act of 1933
92
Disclosure Requirements
85
Securities Fraud
71
Compliance
69
JOBS Act
59
FINRA
58
SCOTUS
56
Securities
50
Class Action
50
Insider Trading
46
Fraud
46
Reporting Requirements
42
Securities Litigation
39
Investment Adviser
39
Shareholders
37
Publicly-Traded Companies
37
Registration
37
Rule 10b-5
35
Whistleblowers
34
Executive Compensation
33
Sarbanes-Oxley
31
Regulation S-K
31
Section 10(b)
30
Popular
29
Disgorgement
28
Corporate Governance
27
Emerging Growth Companies
27
Investors
27
Proposed Amendments
27
Proxy Statements
25
Corporate Officers
25
Financial Institutions
25
Investment Advisers Act of 1940
25
Registration Requirement
24
Fiduciary Duty
24
No-Action Letters
23
Proposed Regulation
23
Whistleblower Awards
22
Board of Directors
22
Clawbacks
22
Exemptions
22
Scienter
22
Swaps
21
Crowdfunding
21
Financial Markets
21
Misrepresentation
21
Regulation D
20
Appeals
20
Brokers
20
CFTC
20
Extraterritoriality Rules
20
Investment Funds
20
Oil & Gas
20
Rule 506 Offerings
19
Corporate Counsel
19
Unregistered Brokers
18
Internal Controls
18
Securities Violations
17
Banks
17
Cease and Desist Orders
17
Class Certification
17
Criminal Prosecution
17
FCPA
17
Fraud-on-the-Market
17
NYSE
17
Risk Retention
17
Security-Based Swaps
17
Stocks
16
Accredited Investors
16
Cease and Desist
16
Investment Company Act of 1940
16
Regulation A
16
Settlement
16
Shareholder Proposals
15
Chief Compliance Officers
15
Civil Monetary Penalty
15
Conflict Mineral Rules
15
Dismissals
15
Federal Jurisdiction
15
Filing Requirements
15
Foreign Private Issuers
15
Incentive Compensation
15
Rule 21F
14
Administrative Proceedings
14
DOJ
14
Enforcement
14
Final Rules
14
Financial Statements
14
High Frequency Trading
14
Penalties
14
Safe Harbors
14
Whistleblower Protection Policies
13
Acquisitions
13
Confidentiality Agreements
13
Directors
13
Fixing America’s Surface Transportation Act (FAST Act)
13
Hedge Funds
13
Material Misstatements
13
Merrill Lynch
13
Morrison v National Australia Bank
13
MSRB
13
Private Placements
13
Severance Agreements
12
EB-5
12
False Statements
12
Federal Reserve
12
Foreign Investment
12
Merrill Lynch v Manning
12
Municipal Advisers
12
Ponzi Scheme
12
PSLRA
11
28 USC 1331
11
Banking Sector
11
CEOs
11
EDGAR
11
Exclusive Jurisdiction
11
Financial Reporting
11
Initial Public Offerings
11
Loss Causation
11
Pleading Standards
11
Public Comment
11
Putative Class Actions
11
Registration Statement
11
Resource Extraction
11
Shareholder Litigation
11
Statute of Limitations
10
Commodities Exchange Act
10
Cross-Border Transactions
10
Due Diligence
10
ERISA
10
FDIC
10
Fines
10
Foreign Corporations
10
Form 10-K
10
Halliburton
10
IPO
10
Market Manipulation
10
Misappropriation
10
Municipal Bonds
10
Municipalities
10
Nasdaq
10
No-Action Relief
10
Offering Fraud
10
Pay Ratio
10
PCAOB
10
Pharmaceutical Industry
10
Regulation SHO
10
RMBS
10
Statute of Repose
10
Underwriting
9
Anti-Retaliation Provisions
9
Asset-Backed Securities
9
Books & Records
9
EU
9
Financial Sector
9
Halliburton v Erica P. John Fund
9
Listing Standards
9
Mergers
9
Omnicare v Laborers District Council
9
Public Offerings
9
Section 10D
9
Small Business
9
Startups
9
US v Newman
9
Wal-Mart
8
Auditors
8
Bad Actors
8
Capital Raising
8
CFPB
8
Cybersecurity
8
Derivatives
8
Equity Securities
8
Form 8-K
8
Form SD
8
Illegal Tipping
8
JPMorgan Chase
8
New Regulations
8
Permanent Injunctions
8
Personal Benefit
8
Private Equity Funds
8
Recordkeeping Requirements
8
Risk Management
8
Sanctions
8
Section 11
8
SLUSA
8
Swap Dealers
8
Waivers
7
Amgen Inc. v Connecticut Retirement Plans
7
Audits
7
Bribery
7
China
7
Comment Period
7
Confidential Information
7
Employer Liability Issues
7
FinCEN
7
General Solicitation
7
Health Net
7
Hedging
7
Institutional Investors
7
Internal Investigations
7
Investment
7
Investment Companies
7
Investment Management
7
Jurisdiction
7
KBR (formerly Kellogg Brown & Root)
7
Kickbacks
7
Motion to Dismiss
7
OCC
7
Pending Legislation
7
Preemption
7
Reversal
7
RICO
7
Rule 15B9-1
7
Say-on-Pay
7
Standing
7
Tender Offers
7
Transaction-Based Compensation
7
UK
7
XBRL Filing Requirements
6
Annual Reports
6
Beneficial Owner
6
Compensation Committee
6
Energy Sector
6
Exchange-Traded Products
6
Facebook
6
First Amendment
6
Form S-1
6
GAAP
6
Margin Requirements
6
Material Nonpublic Information
6
Minerals
6
Mortgage-Backed Securities
6
New Guidance
6
Omnicare
6
Ordinary Business Exception
6
Private Equity
6
Private Funds
6
Private Offerings
6
Professional Liability
6
Proposed Legislation
6
Proxy Advisors
6
Public Disclosure
6
Securities Act
6
Securities Settlement Cycles
6
Securities Transactions
6
Summary Judgment
6
UBS
6
Volcker Rule
6
Wire Fraud
6
Young Lawyers
5
Administrative Procedure Act
5
ALJ
5
Australia
5
Capital Formation
5
Capital Markets
5
Chevron Deference
5
Collateralized Debt Obligations
5
Conflicts of Interest
5
Corruption
5
Derivative Suit
5
Due Process
5
FHFA
5
Financial Restatements
5
Finders
5
Foreign Exchanges
5
Funding Portal
5
Hyperlink
5
IFRS
5
M&A Brokers
5
Marketing
5
Median Employee
5
Municipal Securities Market
5
Mutual Funds
5
OCIE
5
Offerings
5
Omissions
5
Privately Held Corporations
5
Pump and Dump
5
Regulation S-X
5
Retaliation
5
Risk Assessment
5
Rule 10D-1
5
Rule 144A
5
Rule 14a-8
5
Rule 15c6-1(a)
5
Schedule 13D
5
Securitization
5
Social Media
5
Trump Administration
5
White Collar Crimes
4
ABS
4
Accounting Controls
4
Administrative Hearings
4
Advertising
4
Amended Regulation
4
Amended Rules
4
Anti-Bribery
4
Basic v Levinson
4
Bebo v SEC
4
Bitcoin
4
Blue Sky Laws
4
Bylaws
4
C-Suite Executives
4
CFOs
4
City of Pontiac
4
COSO
4
Data Security
4
Debt Collection
4
Debt Collectors
4
Debt Securities
4
Disclosure
4
DOL
4
Duty to Disclose
4
Equity Compensation
4
ETFs
4
Fair Housing Act (FHA)
4
FDA
4
Foreign Issuers
4
Hong Kong
4
IRS
4
Leidos Inc v Indiana Public Retirement System
4
Major Swap Participants
4
Management Proposals
4
Mary Jo White
4
MCDC
4
Mining
4
Misleading Statements
4
Multinationals
4
Municipal Securities Issuers
4
Natural Resources
4
Non-GAAP Financial Measures
4
Pay-for-Performance
4
Pay-To-Play
4
Pensions
4
Portfolio Companies
4
Portfolio Managers
4
Price Manipulation
4
Proxy Access Rule
4
Proxy Materials
4
Proxy Season
4
Rating Agencies
4
Rebuttable Presumptions
4
Regulation AB
4
Rule 15c2-12
4
Self-Reporting
4
Short-Swing Trading
4
SRO
4
Stock Exchange
4
Strategic Enforcement Plan
4
Supervisors
4
Title III
4
Title VII
4
Tolling
4
Venture Capital
3
10b5-1 Plans
3
Accountants
3
Accounting Fraud
3
Alien Tort Statute
3
Annual Meeting
3
Anti-Money Laundering
3
Appointments Clause
3
Asset Management
3
Audit Committee
3
Bank Holding Company
3
Bank of America
3
Barclays
3
Bundling Rules
3
C&DIs
3
Collateralized Loan Obligations
3
Credit Ratings
3
Cross-Border
3
Data Privacy
3
DBRS
3
De Minimus Quantity Exemption
3
Delisting
3
Demand Futility
3
Democratic Republic of Congo
3
Deutsche Bank
3
Dirks v SEC
3
EBITDA
3
Electronic Filing
3
EMMA
3
Employment Contract
3
Equal Protection
3
European Securities and Markets Authority (ESMA)
3
False Advertising
3
Federal Register
3
Financial Conduct Authority (FCA)
3
Financial Regulatory Reform
3
Fitch
3
Foreign Nationals
3
Foreign Workers
3
Forward Contracts
3
FSOC
3
Fundersclub.com
3
Goldman Sachs
3
Government Officials
3
Hackers
3
High-Speed Trading
3
Immigrant Investor Program
3
Interim Rule
3
Internal Reporting
3
International Litigation
3
Investigations
3
Investment Banks
3
Iran Sanctions
3
ISS
3
Issuer Exemption
3
Joint Venture
3
Legacy Funds
3
Libor
3
Listing Rules
3
Money Market Funds
3
Mortgage Servicers
3
Mortgages
3
NASAA
3
Negligence
3
Neither Admit Nor Deny Settlements
3
NRSRO
3
Payment Processors
3
Pension Funds
3
Petrobras
3
Pleadings
3
Proprietary Trading
3
Prospectus
3
Proxy Voting Guidelines
3
Registered Investment Advisors
3
Regulation FD
3
Regulation S-P
3
Regulation SCI
3
REIT
3
Related Parties
3
Retail Investors
3
Retailers
3
Risk Mitigation
3
Rule 10(b)
3
SEC Examination Priorities
3
Section 10(b)-5
3
Section 14(j)
3
Shareholder Meetings
3
Sherman Act
3
Spoofing
3
State Law Claims
3
Stock Promoters
3
Suspensions & Debarments
3
Tax Deductions
3
Third-Party Agents
3
Threshold Requirements
3
Tier 2 Offerings
3
Total Shareholder Return (TSR)
3
Transparency
3
U.S. Treasury
3
Unregistered Securities
3
USCIS
3
Virtual Currency
3
Whole Foods
2
401k
2
Administrative Appointments
2
Admissions of Liability
2
Allergan Inc
2
Alternative Trading Systems
2
Amgen
2
AngelList
2
Anti-Corruption
2
Anti-Kickback Statute
2
Antiterrorism Act
2
Arbitrage
2
Asset Freeze
2
Attorney-Client Privilege
2
Automotive Industry
2
Automotive Loans
2
Bank Holding Company Act
2
Bank Secrecy Act
2
Basel Committee
2
Bermuda
2
Bernie Madoff
2
Borrowers
2
Brazil
2
Breach of Duty
2
Broker Commissions
2
Business Conduct Standards
2
Cayman Islands
2
CCPs
2
CD&A
2
CFPA
2
Chadbourne & Parke LLP v Troice
2
Claim Preclusion
2
Clinical Trials
2
CMBS
2
Commercial Bankruptcy
2
Commercial Real Estate Market
2
Common Stock
2
Complex Litigation
2
Construction Contracts
2
Consumer Financial Products
2
Controlled Foreign Corporations
2
Controlling Stockholders
2
Cooperation
2
Corporate Issuers
2
Corporate Taxes
2
Cost-of-Living
2
Counterparties
2
CRIRSCO
2
Custody Rule
2
Customer Protection Rule
2
Cyber Attacks
2
Dark Pool
2
Data Breach
2
Data Protection
2
Diversity
2
Dividends
2
Electronic Blue Sheets
2
Electronic Communications
2
Employee Benefits
2
Employees
2
Environmental Policies
2
European Commission
2
Examination Priorities
2
Extractive Industry Transparency Rule
2
Failure To Disclose
2
FCRA
2
FDCPA
2
Fees
2
FERC
2
Fifth Amendment
2
Filing Deadlines
2
Final Guidance
2
Financial Services Industry
2
Finder's Fees
2
FLSA
2
FOIA
2
Foreign Banks
2
Foreign Official
2
Foreign Subsidiaries
2
Forfeiture
2
Form 10-Q
2
Form 13F
2
Form S-8
2
Former Directors
2
Forum Non Conveniens
2
Forum Selection
2
FSIA
2
FTAIA
2
FTC
2
Fund Managers
2
Funding
2
Fundraisers
2
Futures
2
Golden Leash Arrangements
2
Government Agencies
2
Government Investigations
2
Gun Control Act
2
Hewlett-Packard
2
Hiring & Firing
2
Hobbs Act
2
Hotels
2
HUD
2
ICFR
2
Imputed Knowledge
2
Indemnification
2
Indictments
2
Injunctive Relief
2
Injury-in-Fact
2
Interlocutory Appeals
2
Intermediaries
2
Internal Revenue Code (IRC)
2
Interstate Wire Act
2
Investment Fraud
2
Investment Portfolios
2
Iran Threat Reduction and Syria Human Rights Act
2
Janus Capital Group
2
Japan
2
Job Creation
2
Joint and Several Liability
2
Judge Rakoff
2
Jury Instructions
2
Jury Trial
2
Know Your Customers
2
Lanham Act
2
Lawson v FMR
2
Legal History
2
Lenders
2
Loans
2
Magnuson-Moss Act
2
Malware
2
Management Fees
2
Market Pricing
2
MDLEA
2
Merger Agreements
2
Mineral Exploration
2
Mineral Extraction
2
Moody's
2
Morgan Stanley
2
Natural Gas
2
Negligent Misrepresentation
2
New Legislation
2
NFA
2
Non-US Entities
2
NPRM
2
Obama Administration
2
OFAC
2
Offering Statements
2
Offsets
2
OMWI
2
Ontario Securities Commission (OSC)
2
Opt-Outs
2
OTC
2
OTCBB
2
Part-Time Employees
2
Partnerships
2
Patriot Act
2
Penny Stocks
2
Personal Jurisdiction
2
Petition for Writ of Certiorari
2
Prejudgment Interest
2
Preliminary Injunctions
2
Presidential Elections
2
Presumption of Reliance
2
Private Right of Action
2
Proposed Rules
2
Proxy Access
2
Prudential Regulation Authority
2
Public Finance
2
Public Officials
2
Qualified Institutional Buyers
2
Qualified Mortgage Rule
2
Reasonable Reliance Claims
2
Referral Fees
2
Regulation M
2
Regulatory Agenda
2
Regulatory Standards
2
Remittance Transfer Rule
2
Removal
2
Resale Exemption
2
RESPA
2
Retirement Plan
2
Right to a Jury
2
Rule 144
2
Rule 147
2
Rule 2210
2
Rule 504
2
Rule 506
2
Rule 506(c)
2
Rule of Lenity
2
Rulemaking Process
2
School Districts
2
Seasonal Workers
2
Section 10 of the Exchange Act
2
Securitization Market
2
SEFs
2
Sellers
2
Seventh Amendment
2
Shareholder Approval
2
Short Selling
2
Smith & Wesson
2
Spokeo v Robins
2
Statement of Opinion
2
Stock Appreciation Rights
2
Stock Prices
2
Stock Trades
2
Subsidiaries
2
Suspicious Activity Reports (SARs)
2
Swap Clearing
2
Swap Data Repositories
2
Swap Market
2
Temporary Employees
2
Termination
2
Third-Party
2
Tippees
2
Title V
2
Title VI
2
Torture Victims Protection Act of 1991
2
Trading Platforms
2
Trinity Wall Street
2
Truth in Lending Act (TILA)
2
UDAAP
2
Unfair Labor Practices
2
Unfair or Deceptive Trade Practices
2
Updated Forms
2
Victims of Trafficking and Violence Protection Act
2
Wage and Hour
2
Well Drilling
2
Wells Notice
2
WKSIs
1
16(b)
1
Abuse of Discretion
1
Accounting Standards
1
Accreditation
1
Acquisition Agreements
1
Activist Hedge Funds
1
Actual or Constructive Knowledge
1
Administrative Authority
1
Administrative Resignation
1
Advanced Notice of Proposed Rulemaking (ANPRM)
1
Adverse Employment Action
1
Advisory Opinions
1
Affiliates
1
Affirmative Defenses
1
Africa
1
Aggregation Rules
1
AICPA
1
Aiding and Abetting
1
AIFMD
1
Akamai Technologies
1
Algorithmic Trading
1
Alibaba
1
American Pipe & Construction Co. v. Utah
1
Amicus Briefs
1
Anti-Dumping Duty
1
Anti-Terrorism Act
1
Apple
1
Appraisal Rights
1
Arbitration
1
Argentina
1
Article II
1
Article III
1
Assessment
1
Assignments
1
Athletes
1
ATMs
1
Attorney Generals
1
Audit Reports
1
Australian Securities Exchange (ASX)
1
Avon
1
Bail-In Provisions
1
Balance Sheets
1
Banging the Close
1
Bank Accounts
1
Bank Fraud
1
Bank of New York (BNY) Mellon
1
BATS Exchange
1
BCBS
1
BEA
1
Bear Sterns
1
Best Buy
1
Bids
1
Biofuel
1
Bipartisan Agreement
1
BitLicense
1
Boilerplate Language
1
Bond Issuers
1
Bonds
1
Bonuses
1
BP
1
British Virgin Islands
1
Broken Windows
1
BSA/AML
1
Business Assets
1
Business Development
1
Business Formation
1
Business Valuations
1
Buyers
1
Canada
1
Canadian Securities Administration
1
Cancellation Rights
1
Capital Acquisition Broker (CAB)
1
Capital Markets Union
1
Capital Requirements
1
Capital Requirements Regulation (CRR)
1
Carried Interest
1
Carve Out Provisions
1
Casinos
1
Causation
1
CD&I
1
CEA
1
Cease and Desist Order
1
Cell Phones
1
Cell Towers
1
Central Counterparties
1
Certifications
1
CFDA
1
Change in Control
1
Chapter 7
1
Child Labor
1
Children's Products
1
Choice of Entity
1
Citibank
1
Citigroup
1
Class Action Arbitration Waivers
1
Clearing Agencies
1
Client Referrals
1
Code of Conduct
1
Coerced Patronage
1
Collateral Estoppel
1
Comity
1
Commercial Contracts
1
Commercial Loans
1
Commercial Mortgage Securitization
1
Commercial Speech
1
Commodities
1
Commodity Futures Contracts
1
Compelled Speech
1
Compensation & Benefits
1
Compensation Agreements
1
Compensation Consultant
1
Condominiums
1
Conduct and Effects Test
1
Conflicting Proposals
1
Conflicts of Laws
1
Congressional Budget Office
1
Congressional Review Act
1
Consent Order
1
Conspiracies
1
Constitutional Challenges
1
Consumer Complaint System
1
Consumer Lenders
1
Contraceptive Coverage Mandate
1
Contractors
1
Copyright Infringement
1
Corp Fin
1
Corporate Bonds
1
Corporate Culture
1
Corporate Executives
1
Corporate Liability
1
Corporate Misconduct
1
Corporations Code
1
Country of Origin
1
Covered Entities
1
Covered Swap Entities (CSE)
1
Covered Transactions
1
CPO
1
CPOs
1
Credit Cards
1
Credit Default Swaps
1
Credit Reports
1
Credit Suisse
1
Criminal Conspiracy
1
Crisis Management
1
CTA
1
Currency Transaction Reports (CTR)
1
Customer Due Diligence (CDD)
1
Cyber Crimes
1
DaimlerChrysler v Bauman
1
Data Retention
1
De-Risking
1
Deadlines
1
Debt
1
Declaratory Judgments
1
Declination
1
Default
1
Defense Strategies
1
Deferred Compensation
1
Deferred Prosecution Agreements
1
Deficiency Notices
1
Delinquency Status
1
Deloitte
1
Department of Financial Services
1
Department of Insurance
1
Depository Institutions
1
Design Defects
1
Digital Assets
1
Digital Currency
1
Director Compensation
1
Director Nominations
1
Disclaimers
1
Dismissal With Prejudice
1
Dispute Resolution
1
Disruptive Trading Practices
1
Diversity and Inclusion Standards (D&I)
1
Division of Economic and Risk Analysis (DERA)
1
DOMA
1
Drinking Water
1
Duty of Care
1
Duty of Loyalty
1
Duty to Monitor
1
E*Trade
1
Early Stage Companies
1
Earnings Reports
1
EBSA
1
Economic Development
1
Effective Date
1
EFTs
1
EGCs
1
Electronic Trading
1
Electronically Stored Information
1
Email
1
EMIR
1
Employee Definition
1
Employee Rights
1
Employee Training
1
En Banc Review
1
End-Users
1
Energy Policy
1
Enforcement Authority
1
Entrepreneurs
1
Equal Opportunities
1
Equity Swaps
1
Ernst & Young
1
Escheat
1
Escrow Accounts
1
Etsy
1
EURIBOR
1
European Banking Authority
1
Exemptive Relief
1
Exhaustion Doctrine
1
Exit Strategies
1
Expert Witness
1
Export Controls
1
Exports
1
Extraction Payment Disclosure Rule
1
Failure To State A Claim
1
False-Certification of Conformance
1
Fannie Mae
1
Farm Credit Administration
1
FASB
1
FATCA
1
Faxes
1
FBI
1
FCC
1
FCMs
1
FCPA Resource Guide
1
Federal Acquisition Regulations (FAR)
1
Federal Aviation Administration (FAA)
1
Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015
1
Federal Contractors
1
Federal Deposit Insurance Act
1
Federal Housing Administration (FHA)
1
Federal Power Act
1
Federal Rules of Civil Procedure
1
Federal v State Law Application
1
Fee Disclosure
1
Fee-Sharing
1
Fee-Shifting
1
Fidelity Investments
1
Filing Fees
1
Final Judgment
1
Financial Accounting
1
Financial Crisis
1
Financial Fraud
1
Financial Holding Company
1
Financial Instruments
1
Finders Fees
1
Firearms
1
Fiscal Year
1
Fixed Income Investments
1
Florida
1
FMR LLC
1
Forced Labor
1
Foreclosure
1
Foreign Affiliates
1
Foreign Branches of U.S. Banks
1
Foreign Equity Securities
1
Foreign Governments
1
Foreign Judgments
1
Foreign Jurisdictions
1
Foreign Policy
1
Form ADV
1
Form F-1
1
Form N-Cen
1
Form N-PORT
1
Form S-3
1
Fraudulent Inducement
1
FRB
1
Free Speech
1
Full-Time Employees
1
Fund-raising
1
GAAS
1
Gaming
1
Garner
1
GE Capital Retail Bank
1
Gender Equity
1
General Electric
1
General Partnerships
1
Generic
1
Ginnie Mae
1
Glass Lewis
1
GlaxoSmithKline
1
Global Systemically Important Financial Institutions (GSIFI)
1
Going-Private Transactions
1
Gramm-Leach-Blilely Act
1
Green Cards
1
Guidance Update
1
Habeas Corpus
1
Hart-Scott-Rodino Act
1
Health Insurance
1
Healthcare
1
Heinz
1
Higher-Risk Securitizations
1
Hitachi
1
HMDA
1
Home Depot
1
Hong Kong Securities and Futures Commission (HKSFC)
1
Hospitality Industry
1
HSBC
1
Human Trafficking
1
Husky International Electronics v Ritz
1
I-526 Petition
1
ICAO
1
ILSA
1
Immigration Attorneys
1
Immigration Procedures
1
Inadequate Warning
1
Incentive Based Contracts
1
Incentive Stock Options
1
Incentives
1
Independent Contractors
Feedback? Tell us what you think of the new jdsupra.com!