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SEC Enforcement Actions ALJ Administrative Proceedings Appointments Clause Administrative Hearings SCOTUS Dodd-Frank Article II Insider Trading Chevron Deference Constitutional Challenges Securities Violations Enforcement Statute of Limitations Disgorgement Judge Rakoff SEC v Citigroup Forum Selection Investment Adviser Popular Securities Appeals Citigroup Jurisdiction Settlement Split of Authority CFTC Consent Decrees Due Process Interlocutory Appeals Risk Management Securities Fraud Whistleblowers Civil Monetary Penalty Corporate Counsel Investment Advisers Act of 1940 Kokesh v SEC Securities Litigation White Collar Crimes Conflict Mineral Rules Investment Management Judicial Review Subject Matter Jurisdiction Misappropriation Preliminary Injunctions Securities Exchange Act Seventh Amendment Whistleblower Protection Policies Bebo v SEC Collateralized Debt Obligations Compliance Depositions Discovery DOJ Equal Protection Federal Rules of Civil Procedure Fraud Injunctions Petition for Writ of Certiorari Sanctions Sarbanes-Oxley Administrative Procedure Act Cease and Desist DOL False Statements FCPA Financial Services Industry First Amendment Gabelli v SEC Motion to Dismiss Retaliation US v Newman Anti-Retaliation Provisions Article I Cease and Desist Orders Chamber of Commerce Class Action Declaratory Relief Derivatives Disclosure Requirements Dismissals En Banc Review Evidence Exclusive Jurisdiction Financial Markets Forfeiture Injunctive Relief Material Misstatements Mortgage-Backed Securities Municipal Bonds Neither Admit Nor Deny Settlements No-Action Letters Non-Delegation Doctrine OSHA Penalties Proposed Regulation Reporting Requirements Right to a Jury Section 10(b) Securities Act of 1933 Venue Administrative Appeals Administrative Review Board Amended Regulation Article III Australia Banking Sector Books & Records Broker-Dealer C-Suite Executives CEA Comment Period Criminal Prosecution De Novo Standard of Review Delegation Doctrine Derivative Suit Disclosure Discovery Rule Employment Contract Enforcement Authority EPA EU Expert Witness FDIC Fifth Amendment Final Judgment Financial Conduct Authority (FCA) Financial Institutions FINRA FSMA Halliburton v Erica P. John Fund Illegal Tipping Impartiality Internal Controls Internal Reporting Investment Company Act of 1940 Judges Motion To Stay Municipal Securities Issuers Municipalities New Guidance OCC OCIE Oil & Gas Omnicare v Laborers District Council Pay-To-Play PCAOB PHH Corp. v CFPB Proxy Statements RMBS Rule 10(b) Rule 10b-5 Rule of Lenity Scienter Shareholder Proposals Shareholders Standing Swaps Trump Administration UK Underwriting Wal-Mart Wells Notice 16(b) Administrative Appointments Administrative Authority Administrative Monetary Penalties Admissions Advisory Opinions Agency Deference Amicus Briefs Analytics Anti-Corruption Appraisal Appraisal Rights Attorney's Fees Audit Committee Audits Australian Securities and Investments Commission Automobile Recall Automotive Industry Basel Committee Basel III Basic v Levinson Bear Sterns Bitcoin BNSF Railway Co v Tyrrell Board of Directors Boeing BP Breach of Contract Breach of Duty Broken Windows Brokers BSA/AML Business Litigation CalPERS CalPERS v ANZ Securities Canada Capital Formation Capital Markets CEOs Certiorari CFPB CFPOA Chief Compliance Officers Class Certification Clean Water Act Clear and Convincing Evidence Commercial Property Owners Commodity Futures Contracts Competition Confidentiality Agreements Consent Order Contempt Control Person Corporate Crimes Corporate Governance Corporate Investigations CPO CPOs CRA Credit Ratings Credit Suisse Credit Unions Criminal Investigations Cross-Border CTA Cybersecurity Dark Pool Data Breach Data Privacy Data Protection Data Security Deferred Prosecution Agreements Demand Futility Detrimental Reliance Discovery Schedule Dispute Resolution Distribution Rules Earnings Reports EB-5 EB-5 Regional Centers EMIR Employer Liability Issues Equitable Tolling Equity Markets Ethics European Securities and Markets Authority (ESMA) Exhaustion Doctrine Extraterritoriality Rules False Claims Act (FCA) Federal Bank Regulatory Agencies Federal Employers Liability Act Federal Power Act Federal Register Federal Reserve Federal Rules of Evidence Federal Vacancies Reform Act Federalism FERC FHFA Fiduciary Duty Filing Requirements Financial Adviser Financial Reporting FMR LLC FOIA Foreign Banks Forfeiture Statutes Form 10-K Forum Fourteenth Amendment Fraud-on-the-Market Fraudulent Concealment FTC GAAP General Motors Gibson Dunn Goldman Sachs Government Entities Government Investigations Guilty Pleas Hackers Hedge Funds HHS Hitachi Honeycutt v. United States HUD Individual Accountability Internal Investigations Investigations Investment Banks Investment Funds Investor Protection Irreparable Harm Joint and Several Liability JPMorgan Chase Jury Instructions Justice Scalia KBR (formerly Kellogg Brown & Root) Lawson v FMR Legal Ethics Libor Liquidated Damages Lost Securities Holders Lucia v SEC Mark Cuban Market Manipulation Marketing Mary Jo White Material Nonpublic Information MCDC Medicaid Medicare Mergers Merrill Lynch Mine Safety and Health Administration (MSHA) Mining Misleading Statements Misrepresentation Money Laundering Murr v Wisconsin Mutual Funds National Association of Manufacturers National Futures Association Natural Gas Act NCUA NHTSA NLRB Non-Appealable Decisions Notice and Comment NRSRO Office of Financial Institution Adjudication (OFIA) Office of Personnel Management (OPM) OMB Permanent Injunctions Personal Benefit Personal Liability Personally Identifiable Information Pipelines Pleading Standards Pleadings Policies and Procedures Portfolio Managers Position Limits Presidential Appointments Presumption of Reliance Private Offerings Product Defects Professional Liability Proxy Season Public Disclosure Public Housing Authorities Public Offerings Public Officials Public Sector Pump and Dump Qui Tam Registered Investment Advisors Regulatory Accountability Act Removal Resource Extraction RESPA Risk Alert Risk Assessment Rollbacks Rule 105 Rule 15c2-12 Rule 21F Rulemaking Process Rules of Civil Procedure Rules of Practice Sales Commissions SCC SEC Examination Priorities Section 13 Section 16 Securities Act Self-Regulatory Organizations Settlement Agreements Shareholder Litigation Short Sales Sixth Amendment Solicitor General South Africa Stare Decisis Stark Law Statute of Repose Stays Subpoenas Substantial Evidence Standard Suspicious Activity Reports (SARs) Tax Tribunal Termination Tolling Toyota Trading Platforms Tranche Transacting Intrastate Business Tribunals UBS Vacated Virtual Currency Volkswagen Washington Mutual Wealth Management Whirlpool Whistleblower Awards Whole Foods Wrongful Termination Yates Memorandum