Browse Related Topics For:

Securities › Civil Procedure › Professional Malpractice

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Corporate Governance

Securities Regulation

Publicly-Traded Companies

Reporting Requirements

Enforcement Actions

Investment Adviser

Environmental Social & Governance (ESG)

Beneficial Owner

Financial Services Industry

Department of Justice (DOJ)

Securities Exchange Act

CFTC

Corporate Transparency Act

Securities Violations

Greenhouse Gas Emissions

Risk Management

Securities Litigation

Financial Institutions

Regulatory Agenda

Securities Fraud

Securities Exchange Act of 1934

Financial Industry Regulatory Authority (FINRA)

Anti-Money Laundering

Regulatory Requirements

Capital Markets

Artificial Intelligence

UK

Board of Directors

Special Purpose Acquisition Companies (SPACs)

Foreign Corrupt Practices Act (FCPA)

Securities Act of 1933

Investment Funds

Investment Advisers Act of 1940

White Collar Crimes

EU

Initial Public Offering (IPO)

Investment Management

Stock Repurchases

Financial Markets

Whistleblower Protection Policies

Financial Conduct Authority (FCA)

Corporate Social Responsibility

Investment Company Act of 1940

Cyber Incident Reporting

Insider Trading

Filing Deadlines

Recordkeeping Requirements

Corporate Counsel

Financial Regulatory Reform

Regulatory Reform

Crypto Exchanges

Conflicts of Interest

Policies and Procedures

Money Laundering

Anti-Corruption

Registered Investment Advisors

Civil Monetary Penalty

Financial Crimes

Federal Trade Commission (FTC)

Misrepresentation

Administrative Procedure Act

ETFs

Federal Reserve

Venture Capital

Bank Secrecy Act

Consumer Financial Protection Bureau (CFPB)

National Security

Regulatory Oversight

Risk Assessment

Financial Statements

Internal Controls

Whistleblower Awards

Investment Companies

Putative Class Actions

Machine Learning

Criminal Prosecution

European Securities and Markets Authority (ESMA)

Material Misstatements

Canadian Securities Administration

Climate Action Plan

Executive Compensation

Filing Requirements

Proposed Amendments

SEC Examination Priorities

Smaller Reporting Companies

Asset Management

Chief Information Security Officer (CISO)

Corporate Misconduct

FDIC

OCC

Office of Foreign Assets Control (OFAC)

Bank of England

IRS

NDAA

NYSE

Securities Transactions

Commodity Exchange Act (CEA)

European Commission

Financial Reporting

Foreign Private Issuers

Limited Liability Company (LLC)

Misleading Statements

Suspicious Activity Reports (SARs)

Trading Platforms

Constitutional Challenges

Consumer Financial Products

Emerging Growth Companies

Futures Commission Merchants (FCMs)

Market Participants

Voluntary Disclosure

Capital Raising

Decentralized Finance (DeFi)

Non-Fungible Tokens (NFTs)

Exchange-Traded Products

Proxy Statements

Adverse Employment Action

Business Ownership

First Amendment

New Regulations

Prudential Regulation Authority (PRA)

Regulatory Standards

Rulemaking Process

Shell Corporations

Task Force on Climate-related Financial Disclosures (TCFD)

Unregistered Securities

Chief Compliance Officers

Data Protection

Digital Currency

Distributed Ledger Technology (DLT)

Electronic Communications

FBI

Listing Standards

NPRM

Accredited Investors

Business Entities

Confidential Information

Controlling Stockholders

Corporate Issuers

Diversity and Inclusion Standards (D&I)

Hong Kong Stock Exchange

Institutional Investors

Murray v UBS Securities LLC

New Legislation

Retirement Plan

Anti-Retaliation Provisions

GAAP

Shareholder Proposals

Compliance Dates

Confidentiality Agreements

Corporate Officers

Department of Labor (DOL)

False Statements

FHFA

Hong Kong Securities and Futures Commission (HKSFC)

Information Technology

Investor Protection

Retail Investors

Risk Mitigation

Technology Sector

Virtual Currency

Alternative Investment Fund Managers Directive (AIFMD)

Economic Sanctions

Employee Retirement Income Security Act (ERISA)

Employer Liability Issues

Institutional Shareholder Services (ISS)

Ontario Securities Commission (OSC)

Proxy Voting Guidelines

Registration Requirement

Shareholder Litigation

Shareholder Rights

Customer Due Diligence (CDD)

Delaware General Corporation Law

Employee Benefits

False Claims Act (FCA)

Financial Services Committee

Financial Transactions

Misappropriation

NIST

REIT

SBA

Self-Disclosure Requirements

Shareholder Activism

UBS

Administrative Proceedings

Carbon Emissions

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Coronavirus/COVID-19

Equity Securities

European Banking Authority (EBA)

Failure To Disclose

Foreign Investment

Incident Response Plans

Internal Revenue Code (IRC)

Investment Contract

Investment Firms

Investment Opportunities

MNPI

NAV

Proposed Regulation

Public Offerings

Regulatory Authority

Regulatory Violations

Smart Contracts

State Attorneys General

Summary Judgment

Sustainable Business Practices

Unconstitutional Condition

Administrative Law Judge (ALJ)

Amended Regulation

Asset-Backed Securities

Business Strategies

Clearing Agencies

Compensation & Benefits

Corporate Crimes

Criminal Penalties

Employment Contract

Environmental Protection Agency (EPA)

Food and Drug Administration (FDA)

Governance Standards

Incentive Compensation

Macquarie Infrastructure Corp v Moab Partners LP

Market Manipulation

Ownership Interest

Proposed Legislation

Real Estate Investments

Regulation Best Interest

XBRL Filing Requirements

Biden Administration

Continuing Legal Education

Decentralized Autonomous Organization (DAO)

Department of Financial Protection and Innovation (DFPI)

Environmental Policies

Internal Investigations

Investment Portfolios

MD&A Statements

Motion to Dismiss

NCUA

Non-GAAP Financial Measures

Passive Investments

Portfolio Companies

Portfolio Managers

Private Equity Funds

Registration Statement

Renewable Energy

Securities Dealers

Securities Traders

Security-Based Swaps

Seventh Amendment

Statutory Violations

Sustainable Finance

401k

Business Litigation

Capital Formation

Capital Investments

Cease and Desist Orders

Class Certification

Commercial Bankruptcy

Compliance Monitoring

Consumer Lenders

Debt Securities

Deferred Prosecution Agreements

Derivatives Clearing Organizations

Enforcement Priorities

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

Foreign Entities

FSMA

HKEx

Investment Fraud

Know Your Customers

Non-Public Information

Privately Held Corporations

Repurchase Agreements

Shareholder Meetings

Terrorism Funding

Trading Policies

Appellate Courts

Bankruptcy Code

Bankruptcy Court

British Columbia Securities Commission

CDIs

CEOs

Closed-End Funds

Compliance Management Systems

Criminal Investigations

DE Supreme Court

Department of Energy (DOE)

Executive Orders

FATF

FEPA

Financial Services and Markets Act

Fixed Income Investments

Hiring & Firing

Individual Retirement Account (IRA)

Information Reports

Information Security

Insurance Industry

Intellectual Property Protection

Investment Products

Law Enforcement

Legislative Agendas

Material Nonpublic Information

Mortgage-Backed Securities

No-Action Letters

Notice of Proposed Rulemaking (NOPR)

Pay-for-Performance

Pharmaceutical Industry

Private Equity Firms

Protected Activity

Proxy Advisory Firms

Quarterly Report

Regulation Technical Standards (RTS)

Securities Tokens

Securitization Standards

SFDR

Syndicated Loans

Administrative Stay

Anti-Fraud Provisions

British Columbia Securities Commission (BCSC)

CFOs

Commodities Traders

Congressional Review Act

Consumer Protection Act

Corporations Code

Cybersecurity Information Sharing Act (CISA)

Data Collection

Designated Contract Markets (DCMs)

Dispute Resolution

Entire Fairness Standard

Export Controls

Federal Contractors

Fees

Financial Instruments

Foreign Issuers

General Data Protection Regulation (GDPR)

Governor Newsom

Hong Kong Monetary Authority (HKMA)

Information Sharing

Initial Coin Offering (ICOs)

Institutional Investment

International Emergency Economic Powers Act (IEEPA)

Judicial Review

Limited Partnerships

Non-Prosecution Agreements

OECD

Personal Information

Policy Statement

Pooled Investment Vehicles

Securities Exchanges

Separation Agreement

Shareholder Votes

SRO

Stock Purchase Agreement

Threshold Requirements

Total Shareholder Return (TSR)

Accounting Standards

Activist Investors

Aiding and Abetting

Alternative Investment Funds

Antitrust Provisions

Benefit Plan Sponsors

Books & Records

Burden of Proof

Business Judgment Rule

CBCA

Commerce Clause

Commercial Litigation

Consolidated Audit Trail

Corporate Taxes

CPOs

Critical Infrastructure Sectors

Customer Identification Program (CIP)

Debt

Department of Defense (DOD)

Digital Securities

Early Stage Companies

EFTs

Equal Protection

False Advertising

FASB

Federal Acquisition Regulations (FAR)

Federal Rules of Civil Procedure

Financial Adviser

FSOC

General Corporation Law

Gramm-Leach-Blilely Act

Inflation Reduction Act (IRA)

Instant Messaging Apps

ISDA

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Municipal Bonds

Objective Falsity

OMB

PFAS

Political Contributions

Predictive Analytics

Price Inflation

Private Right of Action

Public Disclosure

Registered Funds

Reverse Stock Splits

Safeguards Rule

Sanction Violations

SEC Comment Letter Process

Securitization Market

Serious Fraud Office (SFO)

Settlement Agreements

Shareholder Approval

Tax Exempt Entities

Third-Party Risk

Universal Proxy Cards

Affirmative Action

AIFM

Alberta Securities Commission

Anti-Kickback Statute

Arbitrary and Capricious

Business Disputes

California Consumer Privacy Act (CCPA)

Capital Requirements

CARB

Carbon Off-Set Credits

CCA

Centers for Medicare & Medicaid Services (CMS)

Chevron Deference

CMBS

Code of Conduct

Consultation Papers

Cooling-Off Rule

Corporate Culture

Corporate Financing

Credit Agreements

Credit Facilities

Criminal Conspiracy

Criminal Liability

Customer Protection Rule

Data Management

Data Preservation

Declaratory Judgments

Department of Homeland Security (DHS)

Derivative Suit

Electric Vehicles

Emerging Technology Companies

Energy Information Association (EIA)

Enforcement Authority

Enforcement Statistics

Estate Planning

EU Benchmark Regulation

Fair Credit Reporting Act (FCRA)

Federal Pilot Programs

Federal Sentencing Guidelines

FICC

Fifth Amendment

Financial Fraud

Financial Promotions

Financial Regulatory Agencies

Foreign Exchanges

Fourteenth Amendment

Fourth Amendment

Fraudulent Transfers

GAO

General-Business

Government Investigations

Government Securities

Green Infrastructure

Hart-Scott-Rodino Act

Healthcare Fraud

IARD

Indemnification

Inflation Adjustments

Injunctive Relief

Innovative Technology

Interlocutory Appeals

Internal Rate of Return (IRR)

International Trade

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Majority Shareholders

Material Misrepresentation

Merger Agreements

Merger Controls

NLRB

Non-Disclosure Agreement

NSBA

OIG

Online Platforms

Open-Ended Fund Companies (OFCs)

Operating Agreements

OSHA

Performance Standards

Prejudgment Interest

Private Investment Funds

Private Placements

Proposed Guidance

Public Consultations

Public Meetings

Registered Investment Companies (RICs)

Restricted Stocks

SAP America Inc.

Secondary Markets

Securities Contracts

Security Breach

Small and Medium-Sized Enterprises (SMEs)

Special Purpose Vehicles

Statutory Interpretation

Statutory Trusts

Structured Finance

Structured Financial Products

Students for Fair Admissions v Harvard College

Swap Execution Facilities

Terrorist Financing

Trade Restrictions

Unfair or Deceptive Trade Practices

Venture Funding

Vulnerability Assessments

Willful Misconduct

Woman Board Members

Accounting Fraud

Administrative Authority

Advanced Notice of Proposed Rulemaking (ANPRM)

Alternative Trading System (ATS)

American Bar Association (ABA)

Anti-Discrimination Policies

Anti-Terrorism Financing

Arbitration Agreements

ASIC

Attorney-Client Privilege

Audit Committee

Audited Financial Statements

Automation Systems

Breach Notification Rule

Bureau of Industry and Security (BIS)

Business Development

Business Development Companies

Business Divorce

Business Valuations

Buy-Side Trading

C-Suite Executives

California Privacy Rights Act (CPRA)

Cannabis Products

Cannabis-Related Businesses (CRBs)

Capital Contributions

Cash Transactions

CD&I

Central Bank Digital Currency (CBDCs)

CFTC Enforcement Manual

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

Collateralized Loan Obligations

Community Reinvestment Act

Complex Corporate Transactions

Consumer Financial Protection Act (CFPA)

Consumer Protection Laws

Corporate Charters

Corporate Entities

Corporate Executives

Corporate Liability

Corporate Management

Corporate Restructuring

Corporate Sales Transactions

Counter-Terrorist

Cross-Border Transactions

Cybersecurity Framework

Debt Collection

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Digital Platforms

Digital Wallets

Disciplinary Proceedings

Division of Corporate Finance

Do Not Call List

Document Management

Dormant Commerce Clause

Economic Development

Educational Institutions

Emerging Technologies

EMIR

Employee Misconduct

Employee Stock Purchase Plans

Employer Identification Number (EIN)

Energy Projects

Enforcement Guidance

Entertainment Industry

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

European Supervisory Authorities (ESAs)

Examination Priorities

Exculpatory Clauses

Exemptive Relief

Failure to Comply

Failure to Report

FCC

Federal Funding

Federal Housing Administration (FHA)

Federal Register