Securities

SEC Dodd-Frank Enforcement Actions EU CFTC Compliance Disclosure Requirements Popular Investment Adviser Financial Institutions FINRA UK Broker-Dealer Shareholders FCPA Financial Markets Corporate Governance Whistleblowers Securities Fraud DOJ Insider Trading Securities Exchange Act European Securities and Markets Authority (ESMA) Securities Fiduciary Duty JOBS Act Reporting Requirements Investors Board of Directors SCOTUS Swaps Class Action Publicly-Traded Companies Cybersecurity Derivatives Fraud Banking Sector Corporate Counsel Executive Compensation Banks Investment Funds Financial Conduct Authority (FCA) Crowdfunding Securities Act of 1933 RMBS Canada Enforcement Shareholder Litigation Securities Litigation China ERISA Startups MiFID II Federal Reserve IRS Proposed Regulation Chief Compliance Officers Foreign Investment DOL IPO Regulation S-K Hedge Funds Private Equity Mergers Settlement Breach of Duty EMIR European Commission Swap Dealers Emerging Growth Companies Stocks Sarbanes-Oxley OCIE Capital Markets Conflicts of Interest Investment Management Acquisitions Whistleblower Protection Policies Asset Management Retirement Plan Alternative Investment Fund Managers Directive (AIFMD) Conflict Mineral Rules Financial Services Industry FDIC Virtual Currency Criminal Prosecution Regulation D Bitcoin Appeals CFPB Trump Administration Risk Management Venture Capital Bribery Initial Coin Offering (ICOs) Investment Advisers Act of 1940 Audits No-Action Letters Final Rules Whistleblower Awards Exemptions OCC Rating Agencies Securities Violations Due Diligence No-Action Relief Initial Public Offerings Disgorgement UK Brexit Financial Regulatory Reform Proposed Amendments Commodities Blockchain Accredited Investors Internal Controls Statute of Limitations White Collar Crimes General Solicitation NYSE Data Protection Pay Ratio Mutual Funds Proxy Statements Private Placements Financial Statements FTC Hong Kong Shareholder Proposals Derivative Suit ISS Oil & Gas Digital Currency Capital Raising Rule 506 Offerings Anti-Money Laundering Proxy Season Transparency Comment Period Investment Filing Requirements Bonds Fiduciary Rule Mortgages Nasdaq Volcker Rule Insurance Industry Employee Benefits UCITS PCAOB Corporate Officers Registration Requirement Directors Cryptocurrency Investment Company Act of 1940 Data Breach Recordkeeping Requirements Registration Regulation A Regulatory Oversight Major Swap Participants Misrepresentation Anti-Corruption CEOs Brokers Fund Managers Small Business U.S. Treasury New Guidance Public Offerings Dismissals Australia Risk Assessment FinTech Pharmaceutical Industry Income Taxes Retaliation Fixing America’s Surface Transportation Act (FAST Act) Personal Benefit Mary Jo White Class Certification Delaware General Corporation Law Ethics Private Equity Funds Civil Monetary Penalty ETFs GAAP Cross-Border Transactions Registration Statement IOSCO Bylaws Proxy Voting Guidelines US v Newman Corporate Taxes Margin Requirements Sanctions European Banking Authority EDGAR Commodities Exchange Act Safe Harbors Financial Reporting Illegal Tipping OTC Regulatory Standards AIFM Hart-Scott-Rodino Act Corruption FinCEN MSRB Administrative Proceedings Entrepreneurs Proposed Legislation Advertising Books & Records Cross-Border Arbitration ALJ Stock Options Anti-Retaliation Provisions Jurisdiction JPMorgan Chase Energy Sector Prudential Regulation Authority Capital Formation Market Manipulation Social Media Motion to Dismiss Fraud-on-the-Market Capital Requirements NFA Municipal Bonds C&DIs Threshold Requirements Form 10-K Internal Investigations Securitization MiFID New Regulations 401k Cyber Attacks Confidential Information Deutsche Bank Foreign Exchanges MiFIR Distributed Ledger Technology (DLT) Investment Companies ISDA Say-on-Pay Amended Regulation Controlling Stockholders Disclosure Internal Revenue Code (IRC) Security-Based Swaps Shareholder Rights Libor Public Comment Benefit Plan Sponsors Clawbacks Moody's Offerings Public Disclosure Business Judgment Rule Misappropriation Confidentiality Agreements Underwriting Commercial Bankruptcy Employer Liability Issues Municipal Advisers Non-GAAP Financial Measures Regulatory Agenda Penalties Shareholder Activism Material Nonpublic Information Money Market Funds Rule 10b-5 Technology Sector Fitch Ponzi Scheme Auditors Canadian Securities Administration CPO Pensions Private Funds REIT Tax Reform Deferred Prosecution Agreements Token Sales FHFA Merger Agreements Best Interest Contract Exemptions First Amendment Halliburton Loans EU Market Abuse Regulation (EU MAR) RTS Stress Tests Wells Fargo Goldman Sachs Corporate Issuers Money Laundering Risk Retention Annual Reports Rule 144A Institutional Investors Commodity Pool New Legislation Trading Platforms Employee Stock Purchase Plans Foreign Banks Hackers Morgan Stanley High Frequency Trading Prospectus Scienter CMBS False Statements Halliburton v Erica P. John Fund Pay-To-Play DBRS Financial Adviser Futures CTA Material Misstatements Resource Extraction Germany EEA FCMs Limited Liability Company (LLC) Mortgage-Backed Securities US v Salman Dividends Shareholder Votes Fees Unregistered Securities Corporations Code FSOC SEC Examination Priorities Collateralized Debt Obligations Derivatives Clearing Organizations Listing Standards Market Participants SEFs Personal Liability Putative Class Actions Asset-Backed Securities DE Supreme Court Liquidity Marketing Risk Alert Young Lawyers Equity Compensation Minority Shareholders Funding Portal Municipal Securities Issuers Valuation Basel Committee Data Security Regulation Technical Standards (RTS) Standing Appointments Clause Compensation Committee Form ADV Hiring & Firing Hong Kong Securities and Futures Commission (HKSFC) Pay-for-Performance Tax Rates Bad Actors C-Suite Executives Incentive Compensation Investor Protection Member State Registered Investment Advisors Citigroup Investigations Administrative Hearings Bank of America Cease and Desist Orders Offering Fraud Spoofing Form 8-K France Interest Rates Strategic Enforcement Plan Barclays Government Investigations Consumer Financial Products ESOP Algorithmic Trading Italy Municipalities Proxy Access Singapore Forum Selection Russia CEA Foreign Corporations Risk Mitigation Benchmarks Breach of Contract CCPs Dirks v SEC Pending Legislation Private Offerings Withholding Tax Diversity Life Sciences Ontario Securities Commission (OSC) Trustees Capital Gains Capital Markets Union Internal Reporting IRA Bank Secrecy Act Foreign Private Issuers Preemption Subsidiaries CPOs Exchange-Traded Products Price Manipulation Audit Committee Pleading Standards S&P Beneficial Owner Fee-Shifting Form SD Self-Reporting Tax Deductions Corporate Culture False Claims Act (FCA) Financing Rulemaking Process Stock Drop Litigation Alternative Investment Funds Appraisal Custody Rule Japan Legislative Agendas Real Estate Investments Retail Investors Structured Financial Products Automotive Industry Basel III Debt Securities Proxy Access Rule Severance Agreements Summary Judgment Restricted Stocks Rule 21F Section 11 Bank Holding Company Kokesh v SEC D&O Insurance Facebook BSA/AML Fannie Mae FIfth Third Bancorp v Dudenhoeffer CME Deadlines European Central Bank IFRS Personally Identifiable Information Corporate Social Responsibility Economic Development Equity Financing Market Abuse Policies and Procedures SLUSA EB-5 UBS Wal-Mart XBRL Filing Requirements Consultation DSIO FERC Filing Deadlines Financial Crisis Fines Freddie Mac Tippees Central Counterparties Mining Climate Change Extraterritoriality Rules FASB Glass Lewis KBR (formerly Kellogg Brown & Root) Privately Held Corporations SIFMA Yahoo! Hedging Misleading Statements Omnicare Omnicare v Laborers District Council Portfolio Managers PSLRA Regulation FD Basic v Levinson FCPA Resource Guide Forex Notice Requirements OFAC Shareholder Approval EBITDA FSMA Lenders Supply Chain Third-Party Attorney's Fees Compensation & Benefits Early Stage Companies Manufacturers Pension Funds Technology Anti-Bribery FSB Life Insurance Municipal Securities Market Proxy Advisors Qualified Restricted Stock Units (RSUs) Rule 14a-8 Securities Act Uber BRRD HSBC OECD Partnerships Stock Exchange Tender Offers Attorney-Client Privilege Collateralized Loan Obligations Corporate Financing Credit Ratings Indictments Proprietary Trading Dark Pool NASAA Contract Terms Creditors Data Privacy Equity Securities Funding Section 10(b) Serious Fraud Office Solvency II Administrative Appointments Bank of New York (BNY) Mellon Business Valuations Guidance Update Political Contributions Regulation S-X Wire Fraud Blue Sky Laws Cooperation Filing Fees Financial Instruments MCDC Merrill Lynch Rule 147 Split of Authority Voting Rights Corp Fin Deferred Compensation Foreign Official Patents Suspicious Activity Reports (SARs) Administrative Procedure Act Bank of England Capital Requirements Regulation (CRR) Discovery Equity Markets Healthcare Investment Portfolios Memorandum of Understanding Statute of Repose Tax Cuts and Jobs Act Annual Meeting Constitutional Challenges Listing Rules Packaged Retail And Insurance-Based Investment Products (PRIIPS) Professional Liability End-Users Going-Private Transactions Reversal Small Offering Exemptions NCUA Settlement Agreements Unregistered Brokers Yates Memorandum Financial Services Authority Foreign Direct Investment Insolvency Lehman Brothers The Clayton Act Total Shareholder Return (TSR) Best Practices Excessive Fees Limited Partnerships Liquidation Liquidity Risk Management Rule Remuneration Saudi Arabia UK Bribery Act Waivers Hong Kong Stock Exchange Incentive Stock Options Information Reports Securities Exchanges Accounting Standards Consumer Lenders Credit Default Swaps Credit Suisse Executive Orders FATCA NYDFS Standard of Review Aiding and Abetting Bankruptcy Code Investment Banks Luxembourg National Futures Association Renewable Energy Retirement SMEs Supervision Takeover Bids Telecommunications Debt Multinationals Non-Prosecution Agreements Cease and Desist Commercial Real Estate Market EIOPA Failure To Disclose Hyperlink Investment Firms Joint Venture Loss Causation Real Estate Market SIFIs Ukraine Voluntary Disclosure ASIC Business Development Companies Code of Conduct Criminal Convictions EBA Employment Contract EU Directive Industry Examinations International Labor Laws Job Creation Neither Admit Nor Deny Settlements Position Limits Shadow Banking Short Sales Tippers Accounting Fraud Apple Arbitration Agreements Commodity Futures Contracts Cyber Crimes Foreign Currency Investment Fraud Shareholder Meetings Swap Clearing Whole Foods CFIUS Debt Restructuring Demand Futility Evidence Fair Market Value Judge Rakoff London Stock Exchange Mandatory Clearing Requirements Retailers Secondary Markets Article II Corporate Misconduct Criminal Conspiracy Due Process Examination Priorities Foreign Nationals Uncleared Swaps Rule 506(c) Stock Prices Websites Acquisition Agreements Chevron Deference NASD Natural Gas Online Marketplace Lending Presumption of Reliance Technical Standards Toronto Stock Exchange Training Affiliates Affordable Care Act Block Trades Buyouts Certiorari Chapter 11 Common Stock Counterparties Data Collection Economic Sanctions FDA International Tax Issues Omissions Preliminary Injunctions Private Investment Funds Referendums Regulatory Reform Repurchases Section 162(m) Annuities Antitrust Provisions Brazil Enforcement Statistics National Security Structured Finance Tax Exemptions Tolling Disruptive Trading Practices Foreign Issuers Form D Filing Inflation Adjustments Iran Sanctions Netflix Non-Public Information Person with Significant Control (PSC Register) Pleadings Retirement Plan Providers Target Company Alternative Trading Systems Clearing Agencies Cross-Selling GAO Individual Accountability Infrastructure Injunctions Interest Rate Adjustments Mexico NAM NAV Size of Persons Test Social Insurance Contributions Swap Execution Facilities Termination Third-Party Service Provider CalPERS Corporate Bonds Entire Fairness Standard Family Businesses Fixed Income Investments Foreign Subsidiaries HM Treasury Premerger Notifications Regulatory Agencies Related Parties Securitization Vehicles Surveys Tax Favored Programs US Bancorp Article III Asia Countrywide Distribution Rules Duty of Loyalty Equity Plans Federal Pilot Programs General Electric Interest Rate Swaps Lawson v FMR Payday Loans Personal Jurisdiction Petrobras Qualified Small Business Stock Retail Market Seed Financing Silicon Valley Size of Transaction Test Title III Amazon Marketplace Bad Faith BlackRock Burden of Proof CDIs Cyber Threats Director Compensation Disclosure-Based Settlements Indemnification ISDA Master Agreement Legal Entity Identifiers Materiality Minerals Petition for Writ of Certiorari Proposed Rules SnapChat Student Loans Vesting Biotechnology CFOs Closely Held Businesses Credit Rating Agencies Delays Deregulation EEOC Financial CHOICE Act Financial Crimes Gabelli v SEC Liquidity Coverage Ratio Medical Devices Monetary Authority of Singapore New Amendments Preferred Shares Registered Investment Companies (RICs) Swap Data Repositories Wage and Hour Angel Investors Duty of Prudence Electronic Filing Federal Rules of Civil Procedure Finders Google Hostile Takeover India Median Employee Regulation S-P Spinoffs Stock Purchase Agreement Time Extensions TPAs Twitter Amgen Inc. v Connecticut Retirement Plans AML/CFT Bernie Madoff Corporate Executives CRD IV Directive Financial Fraud Forfeiture Information Sharing Ireland Kickbacks Securities Regulation Trade Secrets Transparency Directive Africa Big Data Business Continuity Plans Business Development Competition Debt Collection Fairness Standard Federal Register Form 10-Q Morrison v National Australia Bank Negligence Permanent Injunctions Presidential Elections Proxy Contests Representations and Warranties Section 409A Sharing Economy Tax Evasion Trust Preferred Securities Asset Valuations Attorney Generals BaFin Contract Drafting Damages ECON Global Economy Guilty Pleas Intermediaries Negligent Misrepresentation Ontario Securities Act Ordinary Business Exception OSHA RICO S-Corporation SFC Statement of Opinion Third-Party Risk Trulia Trusts Antitrust Litigation Broken Windows Covered Bonds DCMs Department of Business Oversight E-Commerce Export Controls FIRREA Natural Resources NPRM Portfolio Companies Pre-Merger Filing Requirements Prejudgment Interest Proxy Materials Qualcomm Qualified Mortgage Rule Rule 504 Smaller Reporting Companies Stock Markets Tier 2 Offerings Visas Audit Reports Borrowers CalPERS v ANZ Securities Dow Jones Emerging Technology Companies Energy Market European Supervisory Authorities (ESAs) Exxon Mobil Federal Contractors Financial Services Committee G20 General Data Protection Regulation (GDPR) Good Faith HUD International Harmonization Mortgage Lenders Schedule 13D Senior Managers Share Classes State and Local Government U.S. Commerce Department Wall Street Amended Rules Bank Accounts Business Formation Community Banks Credit Cards Criminal Investigations CSSF Dell Discovery Rule Disqualification Duty of Care Electronic Trading Email Federal Sentencing Guidelines FFIEC Form N-PORT Human Rights Independent Contractors Management Fees Material Disclosures Merger Controls NIST NLRB Peer-to-Peer Securities Financing Transactions (SFTs) Special Purpose Vehicles Strategic Planning Subject Matter Jurisdiction Subpoenas Title VII TRACE Volkswagen Accounting AIF AIG Amgen Controlled Foreign Corporations Director Nominations Elder Issues Electricity Emerging Markets FBI Fraudulent Transfers Mandatory Arbitration Clauses Meals-Gifts-and Entertainment Rules Opt-Outs Prescription Drugs Private Equity Firms Ransomware Repeal Securities Settlement Cycles South Africa Stock Trades Tax Liability Venture Funding Withholding Requirements Bank Holding Company Act C-Corporation Class Action Arbitration Waivers Contractors Default Electronic Communications En Banc Review Fifth Amendment Golden Leash Arrangements Inspection Rights International Arbitration Prudential Standards Pump and Dump Regulation SCI Required Documentation Required Forms