Browse Related Topics For:

Securities › Administrative Agency › Antitrust & Trade Regulation

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Securities Regulation

Corporate Governance

Publicly-Traded Companies

Enforcement Actions

Investment Adviser

Reporting Requirements

Environmental Social & Governance (ESG)

Financial Services Industry

Securities Violations

Department of Justice (DOJ)

Beneficial Owner

Securities Fraud

Securities Exchange Act

CFTC

Corporate Transparency Act

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Financial Institutions

Regulatory Agenda

Securities Exchange Act of 1934

Financial Industry Regulatory Authority (FINRA)

Artificial Intelligence

Capital Markets

Regulatory Requirements

Investment Advisers Act of 1940

UK

Board of Directors

Special Purpose Acquisition Companies (SPACs)

Anti-Money Laundering

Securities Act of 1933

Initial Public Offering (IPO)

Foreign Corrupt Practices Act (FCPA)

EU

Insider Trading

White Collar Crimes

Corporate Social Responsibility

Investment Funds

Investment Management

Financial Markets

Stock Repurchases

Financial Conduct Authority (FCA)

Registered Investment Advisors

Whistleblower Protection Policies

Recordkeeping Requirements

Crypto Exchanges

Policies and Procedures

Cyber Incident Reporting

Financial Regulatory Reform

Investment Company Act of 1940

Corporate Counsel

Macquarie Infrastructure Corp v Moab Partners LP

Anti-Corruption

Misrepresentation

Regulatory Reform

Conflicts of Interest

Money Laundering

Regulatory Oversight

Venture Capital

Financial Crimes

Misleading Statements

Civil Monetary Penalty

Federal Trade Commission (FTC)

Financial Statements

National Security

Consumer Financial Protection Bureau (CFPB)

ETFs

Whistleblower Awards

Criminal Prosecution

Federal Reserve

Risk Assessment

Bank Secrecy Act

Filing Deadlines

Internal Controls

Material Misstatements

Corporate Misconduct

European Securities and Markets Authority (ESMA)

Failure To Disclose

IRS

Putative Class Actions

Canadian Securities Administration

Electronic Communications

Machine Learning

Office of Foreign Assets Control (OFAC)

Administrative Procedure Act

Decentralized Finance (DeFi)

Executive Compensation

Smaller Reporting Companies

Asset Management

Bank of England

Capital Raising

Constitutional Challenges

Emerging Growth Companies

Financial Reporting

NYSE

Proposed Amendments

Consumer Financial Products

Corporate Issuers

Filing Requirements

Investment Companies

OCC

Securities Transactions

Climate Action Plan

False Statements

FDIC

Foreign Private Issuers

Futures Commission Merchants (FCMs)

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Regulatory Standards

Suspicious Activity Reports (SARs)

Voluntary Disclosure

Confidential Information

FBI

Proxy Statements

Trading Platforms

Unregistered Securities

Adverse Employment Action

Commodity Exchange Act (CEA)

Controlling Stockholders

Exchange-Traded Products

Chief Information Security Officer (CISO)

European Commission

Market Participants

Rulemaking Process

Shell Corporations

Technology Sector

Business Entities

Corporate Officers

Hong Kong Stock Exchange

Murray v UBS Securities LLC

NPRM

Registration Requirement

Accredited Investors

Delaware General Corporation Law

Distributed Ledger Technology (DLT)

FHFA

First Amendment

Listing Standards

Material Nonpublic Information

Misappropriation

Proxy Voting Guidelines

Anti-Retaliation Provisions

Chief Compliance Officers

Digital Currency

Diversity and Inclusion Standards (D&I)

Institutional Investors

Task Force on Climate-related Financial Disclosures (TCFD)

Alternative Investment Fund Managers Directive (AIFMD)

Confidentiality Agreements

Economic Sanctions

Employer Liability Issues

False Claims Act (FCA)

Financial Transactions

Investment Firms

New Regulations

Pharmaceutical Industry

Prudential Regulation Authority (PRA)

Self-Disclosure Requirements

Shareholder Litigation

Business Strategies

Compliance Dates

Corporate Crimes

European Banking Authority (EBA)

Foreign Investment

Hong Kong Securities and Futures Commission (HKSFC)

Institutional Shareholder Services (ISS)

Investment Contract

Investment Opportunities

Investor Protection

Proposed Regulation

Real Estate Investments

REIT

Risk Mitigation

SBA

Shareholder Proposals

UBS

Virtual Currency

Administrative Proceedings

Business Ownership

Carbon Emissions

Customer Due Diligence (CDD)

Data Protection

Environmental Policies

Financial Services Committee

GAAP

Internal Revenue Code (IRC)

MNPI

Ontario Securities Commission (OSC)

Private Equity Funds

Proposed Legislation

Public Offerings

Regulatory Violations

Retail Investors

Retirement Plan

SEC Examination Priorities

Shareholder Rights

Smart Contracts

State Attorneys General

Unconstitutional Condition

Administrative Law Judge (ALJ)

Amended Regulation

Biden Administration

Business Litigation

Compensation & Benefits

Criminal Penalties

Department of Labor (DOL)

Governance Standards

Market Manipulation

MD&A Statements

Non-Public Information

Summary Judgment

Sustainable Business Practices

Books & Records

Capital Formation

Capital Investments

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Consumer Lenders

Coronavirus/COVID-19

DE Supreme Court

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Derivatives Clearing Organizations

Employee Retirement Income Security Act (ERISA)

Enforcement Priorities

Environmental Protection Agency (EPA)

FEPA

Food and Drug Administration (FDA)

Investment Portfolios

NAV

NCUA

New Legislation

NIST

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Regulatory Authority

Renewable Energy

Securities Dealers

Securities Traders

Shareholder Activism

Statutory Violations

XBRL Filing Requirements

Asset-Backed Securities

Cease and Desist Orders

Commercial Bankruptcy

Continuing Legal Education

Debt Securities

Department of Financial Protection and Innovation (DFPI)

Employee Benefits

Employment Contract

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

Foreign Entities

HKEx

Incentive Compensation

Incident Response Plans

Non-GAAP Financial Measures

Portfolio Managers

Privately Held Corporations

Registration Statement

Securities Tokens

Securitization Standards

Security-Based Swaps

Seventh Amendment

Shareholder Meetings

Anti-Fraud Provisions

Bankruptcy Code

Bankruptcy Court

CDIs

Clearing Agencies

Closed-End Funds

Corporations Code

Criminal Investigations

Data Collection

Department of Energy (DOE)

Entire Fairness Standard

Equity Securities

Executive Orders

Federal Contractors

Financial Instruments

Financial Services and Markets Act

Hiring & Firing

Information Reports

Information Technology

Insurance Industry

Judicial Review

Know Your Customers

Limited Partnerships

Merger Agreements

Motion to Dismiss

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

OECD

Passive Investments

Personal Information

Protected Activity

Regulation Technical Standards (RTS)

Repurchase Agreements

Stock Purchase Agreement

Sustainable Finance

Syndicated Loans

Terrorism Funding

Trading Policies

Administrative Stay

Alternative Investment Funds

British Columbia Securities Commission

British Columbia Securities Commission (BCSC)

Business Disputes

Business Judgment Rule

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Taxes

Cybersecurity Information Sharing Act (CISA)

Designated Contract Markets (DCMs)

Digital Securities

Digital Wallets

Dispute Resolution

Export Controls

FATF

Financial Adviser

FSMA

General Data Protection Regulation (GDPR)

Initial Coin Offering (ICOs)

Intellectual Property Protection

Internal Investigations

International Emergency Economic Powers Act (IEEPA)

Investment Products

ISDA

Law Enforcement

Mortgage-Backed Securities

Municipal Bonds

No-Action Letters

Pay-for-Performance

Policy Statement

Political Contributions

Private Equity Firms

Private Right of Action

Quarterly Report

Regulation Best Interest

Securities Exchanges

Serious Fraud Office (SFO)

SFDR

Shareholder Votes

Stockholder Agreements

Third-Party Risk

Total Shareholder Return (TSR)

401k

Accounting Standards

Activist Investors

AIFM

Antitrust Provisions

Appellate Courts

Benefit Plan Sponsors

CEOs

Class Certification

Commercial Litigation

Corporate Financing

Credit Facilities

Critical Infrastructure Sectors

Debt

Department of Defense (DOD)

Early Stage Companies

Enforcement Statistics

FASB

Federal Acquisition Regulations (FAR)

Fifth Amendment

Financial Regulatory Agencies

Foreign Exchanges

Foreign Issuers

Fourth Amendment

FSOC

General Corporation Law

Healthcare Fraud

Hong Kong Monetary Authority (HKMA)

Indemnification

Inflation Reduction Act (IRA)

Information Sharing

Innovative Technology

Instant Messaging Apps

Legislative Agendas

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Non-Disclosure Agreement

Objective Falsity

OMB

Online Platforms

Predictive Analytics

Price Inflation

Public Meetings

Reverse Stock Splits

Sanction Violations

SEC Comment Letter Process

Securitization Market

Shareholder Approval

Split of Authority

SRO

Statutory Trusts

Swap Execution Facilities

Threshold Requirements

Acquisition Agreements

Aiding and Abetting

Anti-Kickback Statute

Arbitrary and Capricious

Arbitration Agreements

ASIC

Business Development

California Consumer Privacy Act (CCPA)

Carbon Off-Set Credits

CBCA

CCA

CFOs

Chevron Deference

Compliance Management Systems

Compliance Monitoring

Congressional Review Act

Consultation Papers

Consumer Financial Protection Act (CFPA)

Corporate Culture

Corporate Entities

Corporate Sales Transactions

Corporate Securities Act

CPOs

Criminal Conspiracy

Data Management

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Derivative Suit

Disciplinary Proceedings

EFTs

Electric Vehicles

EMIR

Energy Information Association (EIA)

Enforcement Authority

Equal Protection

Estate Planning

Fair Credit Reporting Act (FCRA)

Fair Market Value

False Advertising

Federal Pilot Programs

Federal Sentencing Guidelines

Fees

FICC

Fraudulent Transfers

Freeze-Out Mergers

Government Investigations

Government Securities

Governor Newsom

Gramm-Leach-Blilely Act

Green Infrastructure

HMRC

Individual Retirement Account (IRA)

Inflation Adjustments

Injunctive Relief

Institutional Investment

Internal Rate of Return (IRR)

Investment Fraud

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Material Misrepresentation

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Prejudgment Interest

Private Investment Funds

Private Placements

Prohibited Transactions

Promissory Notes

Proposed Guidance

Public Consultations

Public Disclosure

Regular Business Communications

Restricted Stocks

Safeguards Rule

SAP America Inc.

Secondary Markets

Securities Contracts

Securities Settlement Cycles

Small and Medium-Sized Enterprises (SMEs)

State and Local Government

Statutory Interpretation

Structured Finance

Subscription Services

Tax Exempt Entities

Terrorist Financing

Unfair or Deceptive Trade Practices

Universal Proxy Cards

Unregistered Brokers

Venture Funding

Vulnerability Assessments

Wealth Management

Accounting Fraud

Advanced Notice of Proposed Rulemaking (ANPRM)

Advisory Committee

Alberta Securities Commission

Anti-Terrorism Financing

Attorney General

Attorney-Client Privilege

Audit Committee

Automation Systems

Banking Regulators

Burden of Proof

Bureau of Industry and Security (BIS)

Business Development Companies

Business Divorce

Business Valuations

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Campaign Contributions

Capital Contributions

Capital Requirements

Cash Transactions

Cause of Action Accrual

Centers for Medicare & Medicaid Services (CMS)

Central Bank Digital Currency (CBDCs)

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

Code of Conduct

Consolidated Audit Trail

Consumer Protection Laws

Cooling-Off Rule

Corporate Charters

Corporate Executives

Corporate Liability

Corporate Management

Corporate Restructuring

Corporate Structures

Counter-Terrorist

Credit Agreements

Criminal Convictions

Criminal Liability

Cross-Border Transactions

Customer Identification Program (CIP)

Customer Protection Rule

Debt Instruments

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Digital Platforms

Do Not Call List

Dormant Commerce Clause

Economic Development

Educational Institutions

Emerging Technologies

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Exculpatory Clauses

Failure to Comply

Fair-Notice Standard

FCC

Federal Arbitration Act

Federal Funding

Federal Housing Administration (FHA)

Federal Register

Federal Rules of Civil Procedure

Financial Fraud

Financial Promotions

Financial Reporting Council (FRC)

Financial Restatements

Financial Stability Board

Fixed Income Investments

Foreign Agents Registration Act (FARA)

Foreign Governments

Foreign Official

Fourteenth Amendment

Fraud and Abuse

General Solicitation

General-Business

Goods or Services

Government Agencies

Government Entities

Grantor Retained Annuity Trusts (GRATs)

Guidance Update

Hart-Scott-Rodino Act

Health Insurance Portability and Accountability Act (HIPAA)

Holding Companies

Hong Kong International Arbitration Centre (HKIAC)

HUD

ICFR

IFRS

Incentive Awards

Information Security