Browse Related Topics For:

Securities Exchange Act

567
SEC
141
Dodd-Frank
136
Enforcement Actions
108
Broker-Dealer
96
Securities Act of 1933
84
Disclosure Requirements
76
Securities Fraud
71
Compliance
62
JOBS Act
58
FINRA
55
SCOTUS
55
Securities
49
Insider Trading
46
Class Action
46
Fraud
45
Reporting Requirements
39
Investment Adviser
39
Shareholders
37
Registration
35
Securities Litigation
34
Publicly-Traded Companies
34
Whistleblowers
33
Executive Compensation
32
Rule 10b-5
31
Sarbanes-Oxley
30
Section 10(b)
28
Disgorgement
28
Popular
27
Investors
27
Proxy Statements
25
Financial Institutions
25
Investment Advisers Act of 1940
25
Registration Requirement
24
Corporate Governance
24
Corporate Officers
24
No-Action Letters
23
Proposed Regulation
23
Regulation S-K
23
Whistleblower Awards
22
Clawbacks
22
Exemptions
22
Fiduciary Duty
22
Swaps
21
Board of Directors
21
Proposed Amendments
21
Regulation D
20
Brokers
20
CFTC
20
Financial Markets
20
Investment Funds
20
Rule 506 Offerings
20
Scienter
19
Appeals
19
Misrepresentation
18
Crowdfunding
18
Emerging Growth Companies
18
Extraterritoriality Rules
18
Fraud-on-the-Market
18
Internal Controls
18
Oil & Gas
18
Risk Retention
17
Banks
17
Cease and Desist Orders
17
Class Certification
17
Corporate Counsel
17
FCPA
17
Federal Jurisdiction
17
Security-Based Swaps
17
Stocks
17
Unregistered Brokers
16
Accredited Investors
16
Cease and Desist
16
Criminal Prosecution
16
Investment Company Act of 1940
16
Securities Violations
16
Shareholder Proposals
15
Chief Compliance Officers
15
Civil Monetary Penalty
15
Incentive Compensation
15
Settlement
14
DOJ
14
Enforcement
14
High Frequency Trading
14
NYSE
14
Penalties
14
Rule 21F
13
Confidentiality Agreements
13
Directors
13
Federal Reserve
13
Foreign Private Issuers
13
Hedge Funds
13
Material Misstatements
13
Merrill Lynch
13
Merrill Lynch v Manning
13
Regulation A
13
Safe Harbors
13
Severance Agreements
13
Whistleblower Protection Policies
12
28 USC 1331
12
Administrative Proceedings
12
Conflict Mineral Rules
12
EB-5
12
Exclusive Jurisdiction
12
False Statements
12
Filing Requirements
12
Final Rules
12
Fixing America’s Surface Transportation Act (FAST Act)
12
Foreign Investment
12
Municipal Advisers
12
Private Placements
11
Banking Sector
11
CEOs
11
Dismissals
11
Financial Reporting
11
Financial Statements
11
Morrison v National Australia Bank
11
Ponzi Scheme
11
PSLRA
11
Resource Extraction
10
Acquisitions
10
Commodities Exchange Act
10
FDIC
10
Fines
10
Foreign Corporations
10
Halliburton
10
Market Manipulation
10
No-Action Relief
10
Pay Ratio
10
PCAOB
10
Regulation SHO
10
Shareholder Litigation
10
Underwriting
9
Asset-Backed Securities
9
ERISA
9
Halliburton v Erica P. John Fund
9
Initial Public Offerings
9
IPO
9
Listing Standards
9
Loss Causation
9
Misappropriation
9
Nasdaq
9
Offering Fraud
9
Omnicare v Laborers District Council
9
Pharmaceutical Industry
9
RMBS
9
Section 10D
9
Small Business
9
Startups
9
Statute of Limitations
9
US v Newman
8
Anti-Retaliation Provisions
8
Bad Actors
8
Books & Records
8
CFPB
8
Cross-Border Transactions
8
Due Diligence
8
EDGAR
8
Financial Sector
8
Form 10-K
8
Illegal Tipping
8
Investment Management
8
JPMorgan Chase
8
MSRB
8
Municipal Bonds
8
Municipalities
8
Permanent Injunctions
8
Personal Benefit
8
Pleading Standards
8
Private Equity Funds
8
Public Comment
8
Recordkeeping Requirements
8
Registration Statement
8
Risk Management
8
Sanctions
8
Section 11
8
Swap Dealers
8
Waivers
8
Wal-Mart
7
Amgen Inc. v Connecticut Retirement Plans
7
Auditors
7
Audits
7
China
7
Cybersecurity
7
Derivatives
7
Employer Liability Issues
7
Equity Securities
7
EU
7
FinCEN
7
Form SD
7
General Solicitation
7
Health Net
7
Hedging
7
Internal Investigations
7
Investment
7
Investment Companies
7
KBR (formerly Kellogg Brown & Root)
7
Mergers
7
OCC
7
Omnicare
7
Pending Legislation
7
Preemption
7
RICO
7
Rule 15B9-1
7
Say-on-Pay
7
SLUSA
7
Statute of Repose
7
Tender Offers
7
Transaction-Based Compensation
6
Beneficial Owner
6
Bribery
6
Capital Raising
6
Compensation Committee
6
Confidential Information
6
Energy Sector
6
Exchange-Traded Products
6
Facebook
6
GAAP
6
Jurisdiction
6
Margin Requirements
6
Material Nonpublic Information
6
Minerals
6
Mortgage-Backed Securities
6
Motion to Dismiss
6
New Guidance
6
New Regulations
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
Public Offerings
6
Putative Class Actions
6
Reversal
6
Standing
6
Summary Judgment
6
UBS
6
UK
6
Volcker Rule
6
Wire Fraud
5
ALJ
5
Annual Reports
5
Australia
5
Capital Formation
5
Chevron Deference
5
Conflicts of Interest
5
Corruption
5
Derivative Suit
5
FHFA
5
First Amendment
5
Foreign Exchanges
5
Form 8-K
5
Form S-1
5
Institutional Investors
5
Kickbacks
5
M&A Brokers
5
Marketing
5
Median Employee
5
Mutual Funds
5
OCIE
5
Offerings
5
Privately Held Corporations
5
Pump and Dump
5
Retaliation
5
Risk Assessment
5
Rule 10D-1
5
Rule 14a-8
5
Schedule 13D
5
Securities Act
5
Securitization
5
Social Media
5
White Collar Crimes
5
Young Lawyers
4
ABS
4
Accounting Controls
4
Administrative Hearings
4
Anti-Bribery
4
Basic v Levinson
4
Bebo v SEC
4
Blue Sky Laws
4
Bylaws
4
C-Suite Executives
4
Capital Markets
4
CFOs
4
City of Pontiac
4
Collateralized Debt Obligations
4
Comment Period
4
COSO
4
Data Security
4
Debt Collection
4
Debt Collectors
4
DOL
4
Due Process
4
Duty to Disclose
4
Equal Protection
4
Equity Compensation
4
ETFs
4
Fair Housing Act (FHA)
4
FDA
4
Financial Restatements
4
Finders
4
Funding Portal
4
Hong Kong
4
IRS
4
Major Swap Participants
4
Management Proposals
4
Mary Jo White
4
MCDC
4
Mining
4
Misleading Statements
4
Multinationals
4
Natural Resources
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
Rebuttable Presumptions
4
Regulation AB
4
Regulation S-X
4
Rule 144A
4
Self-Reporting
4
Short-Swing Trading
4
SRO
4
State Law Claims
4
Stock Exchange
4
Strategic Enforcement Plan
4
Supervisors
4
Title III
4
Title VII
4
Tolling
4
Trump Administration
4
Venture Capital
4
XBRL Filing Requirements
3
10b5-1 Plans
3
Accountants
3
Accounting Fraud
3
Administrative Procedure Act
3
Advertising
3
Alien Tort Statute
3
Amended Regulation
3
Anti-Money Laundering
3
Appointments Clause
3
Asset Management
3
Audit Committee
3
Bank Holding Company
3
Bank of America
3
Barclays
3
Bitcoin
3
Bundling Rules
3
Collateralized Loan Obligations
3
Commercial Bankruptcy
3
Credit Ratings
3
Cross-Border
3
Data Privacy
3
De Minimus Quantity Exemption
3
Debt Securities
3
Delisting
3
Demand Futility
3
Deutsche Bank
3
Dirks v SEC
3
Disclosure
3
EBITDA
3
Employment Contract
3
European Securities and Markets Authority (ESMA)
3
False Advertising
3
FDCPA
3
Federal Register
3
Financial Regulatory Reform
3
Foreign Issuers
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
Hobbs Act
3
IFRS
3
Immigrant Investor Program
3
Interim Rule
3
International Litigation
3
Investigations
3
Investment Banks
3
Iran Sanctions
3
ISS
3
Issuer Exemption
3
Legacy Funds
3
Libor
3
Mortgages
3
NASAA
3
Negligence
3
Neither Admit Nor Deny Settlements
3
Non-GAAP Financial Measures
3
NRSRO
3
Omissions
3
Payment Processors
3
Pension Funds
3
Petrobras
3
Pleadings
3
Presumption of Reliance
3
Proprietary Trading
3
Proxy Voting Guidelines
3
Rating Agencies
3
Registered Investment Advisors
3
Regulation FD
3
Regulation S-P
3
Regulation SCI
3
Regulatory Standards
3
REIT
3
Related Parties
3
Retailers
3
Rule 10(b)
3
SEC Examination Priorities
3
Section 10(b)-5
3
Section 14(j)
3
Sherman Act
3
Spoofing
3
Stock Promoters
3
Suspensions & Debarments
3
Tax Deductions
3
Third-Party Agents
3
Threshold Requirements
3
Total Shareholder Return (TSR)
3
U.S. Treasury
3
Unregistered Securities
3
USCIS
3
Whole Foods
2
401k
2
Administrative Appointments
2
Admissions of Liability
2
Allergan Inc
2
Alternative Trading Systems
2
Amgen
2
AngelList
2
Annual Meeting
2
Anti-Corruption
2
Anti-Kickback Statute
2
Antiterrorism Act
2
Arbitrage
2
Asset Freeze
2
Attorney Generals
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
C&DIs
2
Cayman Islands
2
CD&A
2
Certiorari
2
CFPA
2
Chadbourne & Parke LLP v Troice
2
Chapter 7
2
Claim Preclusion
2
Clinical Trials
2
CMBS
2
Commercial Real Estate Market
2
Complex Litigation
2
Construction Contracts
2
Consumer Financial Products
2
Controlled Foreign Corporations
2
Controlling Stockholders
2
Cooperation
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 Protection
2
DBRS
2
Democratic Republic of Congo
2
Diversity
2
Dividends
2
Electronic Blue Sheets
2
Electronic Communications
2
Employee Benefits
2
Employees
2
Environmental Policies
2
Examination Priorities
2
Extractive Industry Transparency Rule
2
Failure To Disclose
2
FCRA
2
Fees
2
FERC
2
Fifth Amendment
2
Filing Deadlines
2
Final Guidance
2
Financial Conduct Authority (FCA)
2
Finder's Fees
2
Fitch
2
FLSA
2
FOIA
2
Foreign Banks
2
Foreign Official
2
Foreign Subsidiaries
2
Forfeiture
2
Form 13F
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
Hiring & Firing
2
Hotels
2
HUD
2
Husky International Electronics v Ritz
2
ICFR
2
Indemnification
2
Indictments
2
Injunctive Relief
2
Injury-in-Fact
2
Intermediaries
2
Internal Reporting
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
Joint Venture
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
Listing Rules
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
Money Market Funds
2
Morgan Stanley
2
Mortgage Servicers
2
Municipal Securities Issuers
2
Municipal Securities Market
2
Natural Gas
2
Negligent Misrepresentation
2
New Legislation
2
NFA
2
Non-US Entities
2
NPRM
2
Obama Administration
2
OFAC
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
Presidential Elections
2
Private Right of Action
2
Proposed Rules
2
Prospectus
2
Proxy Access
2
Prudential Regulation Authority
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
Remittance Transfer Rule
2
Removal
2
Resale Exemption
2
RESPA
2
Retail Investors
2
Right to a Jury
2
Risk Mitigation
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
Seventh Amendment
2
Shareholder Approval
2
Shareholder Meetings
2
Sheriff v. Gillie
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
Tier 2 Offerings
2
Tippees
2
Title V
2
Title VI
2
Torture Victims Protection Act of 1991
2
Transparency
2
Trinity Wall Street
2
Truth in Lending Act (TILA)
2
UDAAP
2
Unfair Labor Practices
2
Unfair or Deceptive Trade Practices
2
Unions
2
Victims of Trafficking and Violence Protection Act
2
Virtual Currency
2
Wage and Hour
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
Arson
1
Article II
1
Article III
1
Assessment
1
Assignments
1
Athletes
1
ATMs
1
Audit Reports
1
Australian Securities Exchange (ASX)
1
Avon
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
Bonds
1
Bonuses
1
BP
1
Broken Windows
1
BSA/AML
1
Business Assets
1
Business Conduct Standards
1
Business Development
1
Business Formation
1
Business Valuations
1
Canada
1
Canadian Securities Administration
1
Cancellation Rights
1
Capital Acquisition Broker (CAB)
1
Capital Requirements
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
Certifications
1
CFDA
1
Change in Control
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
Coerced Patronage
1
College Admissions
1
Comity
1
Commercial Contracts
1
Commercial Loans
1
Commercial Mortgage Securitization
1
Commercial Speech
1
Commodities
1
Commodity Futures Contracts
1
Common Stock
1
Compelled Speech
1
Compensation & Benefits
1
Compensation Agreements
1
Compensation Consultant
1
Condominiums
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
Contract Disputes Act
1
Contractors
1
Copyright Infringement
1
Corp Fin
1
Corporate Bonds
1
Corporate Culture
1
Corporate Executives
1
Corporate Issuers
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
Cruel & Unusual Punishment
1
CTA
1
Currency Transaction Reports (CTR)
1
Customer Due Diligence (CDD)
1
Cyber Crimes
1
DaimlerChrysler v Bauman
1
Data Breach
1
Data Retention
1
De-Risking
1
Deadlines
1
Death Penalty
1
Debt
1
Declaratory Judgments
1
Declination
1
Defense Strategies
1
Deferred Compensation
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
Director Compensation
1
Director Nominations
1
Disclaimers
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
EFTs
1
EGCs
1
Eighth Amendment
1
Electronic Filing
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
EURIBOR
1
European Commission
1
Exemptive Relief
1
Exhaustion Doctrine
1
Exit Strategies
1
Expert Witness
1
Export Controls
1
Exports
1
Extraction Payment Disclosure Rule
1
False-Certification of Conformance
1
Fannie Mae
1
Farm Credit Administration
1
FASB
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 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 Holding Company
1
Financial Instruments
1
Financial Services Industry
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 10-Q
1
Form ADV
1
Form F-1
1
Form N-Cen
1
Form N-PORT
1
Form S-8
1
Franchise Taxes
1
Fraudulent Conveyance
1
Fraudulent Inducement
1
FRB
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
Hewlett-Packard
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
I-526 Petition
1
ICAO
1
ILSA
1
Immigration and Nationality Act
1
Immigration Attorneys
1
Immigration Procedures
1
Imputed Knowledge
1
Inadequate Warning
1
Incentive Based Contracts
1
Incentive Stock Options
1
Incentives
1
Independent Contractors
1
Individual Accountability
1
Information Sharing
1
Institutional Investment
1
Integrated Disclosures
1
Interest Rates
1
Interlocutory Appeals
1
Internal Audit Functions
1
International Arbitration
1
International Waters
1
Internet
1
Interstate Commerce
1
Inventory
1
Investment Firms
1
Investment Fund Vehicles
1
Investor Protection
1
IOSCO
1
IRA
1
IRC Section 83(b)
1
ISOs
1
Issuer Eligibility Criteria
1
ITAR
1
Item 402
1
Item 402(b)
1
Joint Policy Statements
1
Justice Scalia
1
Kernan v Hinojosa
1
Keurig Inc
1
Kickstarter
1
Kraft
1
Leave to Amend
1
Legal Entities