Browse Related Topics For:

Securities › Constitutional Law › Securities

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Investment Adviser

Corporate Governance

Securities Regulation

Enforcement Actions

Financial Services Industry

Publicly-Traded Companies

Securities Fraud

Environmental Social & Governance (ESG)

Reporting Requirements

Financial Institutions

UK

Securities Violations

EU

Regulatory Agenda

CFTC

Financial Conduct Authority (FCA)

Securities Litigation

Investment Advisers Act of 1940

Department of Justice (DOJ)

Capital Markets

Securities Exchange Act

Artificial Intelligence

Investment Management

Board of Directors

Risk Management

Regulatory Requirements

Seventh Amendment

Registered Investment Advisors

Financial Industry Regulatory Authority (FINRA)

Securities Exchange Act of 1934

Financial Regulatory Reform

Initial Public Offering (IPO)

Anti-Money Laundering

Insider Trading

Administrative Law Judge (ALJ)

Asset Management

European Securities and Markets Authority (ESMA)

Financial Markets

Cyber Incident Reporting

Department of Labor (DOL)

Greenhouse Gas Emissions

Recordkeeping Requirements

Civil Monetary Penalty

Policies and Procedures

Investment Funds

Whistleblower Awards

White Collar Crimes

Administrative Proceedings

Corporate Counsel

Employee Retirement Income Security Act (ERISA)

Securities Act of 1933

Special Purpose Acquisition Companies (SPACs)

Chevron Deference

Beneficial Owner

Macquarie Infrastructure Corp v Moab Partners LP

Administrative Authority

Consumer Financial Protection Bureau (CFPB)

Misleading Statements

Loper Bright Enterprises v Raimondo

Venture Capital

Administrative Procedure Act

FDIC

Federal Trade Commission (FTC)

Whistleblower Protection Policies

Bank Secrecy Act

Corporate Misconduct

Regulatory Oversight

Crypto Exchanges

Incident Response Plans

Prudential Regulation Authority (PRA)

Prohibited Transactions

Constitutional Challenges

Government Agencies

Retirement Plan

Delaware General Corporation Law

Risk Assessment

Shareholder Litigation

Federal Reserve

Corporate Transparency Act

Voluntary Disclosure

Corporate Social Responsibility

Criminal Prosecution

European Commission

Failure To Disclose

Foreign Corrupt Practices Act (FCPA)

Capital Raising

Consumer Financial Products

Decentralized Finance (DeFi)

IRS

Putative Class Actions

Regulatory Authority

Chief Information Security Officer (CISO)

Data Protection

European Banking Authority (EBA)

Exempt Reporting Advisers (ERAs)

False Statements

Insurance Industry

Misrepresentation

Electronic Communications

Filing Deadlines

Regulatory Standards

Statutory Interpretation

Financial Crimes

Internal Controls

Bank of England

Conflicts of Interest

Customer Identification Program (CIP)

Internal Revenue Code (IRC)

Investment Firms

Judicial Authority

Material Misstatements

Material Nonpublic Information

Money Laundering

NYSE

Regulatory Reform

Individual Retirement Account (IRA)

Suspicious Activity Reports (SARs)

Sustainable Finance

Canadian Securities Administration

ETFs

Filing Requirements

Investment Company Act of 1940

Non-Fungible Tokens (NFTs)

Commodity Exchange Act (CEA)

Controlling Stockholders

Investment Companies

Machine Learning

Motion to Dismiss

Statutory Authority

FHFA

Private Equity Funds

Corporate Crimes

Merger Agreements

Misappropriation

Political Contributions

Registration Requirement

State Attorneys General

Consumer Lenders

Executive Compensation

False Claims Act (FCA)

Hong Kong Stock Exchange

New Legislation

OCC

Proposed Legislation

Risk Mitigation

Rulemaking Process

Securities Transactions

SFDR

Sustainable Business Practices

Anti-Corruption

Corporate Officers

European Supervisory Authorities (ESAs)

Notice of Proposed Rulemaking (NOPR)

Technology Sector

Alternative Investment Fund Managers Directive (AIFMD)

Confidential Information

DE Supreme Court

Employee Benefits

Limited Partnerships

NPRM

Retail Investors

Corporate Issuers

Derivative Suit

Early Stage Companies

Environmental Policies

Financial Statements

Listing Standards

Office of Foreign Assets Control (OFAC)

Presidential Elections

PTEs

Shareholder Proposals

Virtual Currency

Digital Currency

Emerging Growth Companies

Foreign Investment

Foreign Private Issuers

NAIC

Stockholder Agreements

Trading Platforms

Unregistered Securities

Biden Administration

Chief Compliance Officers

Criminal Convictions

Fees

HKEx

Ontario Securities Commission (OSC)

Proxy Statements

Books & Records

Commercial Bankruptcy

Commercial Litigation

Distributed Ledger Technology (DLT)

Diversity and Inclusion Standards (D&I)

Federal Pilot Programs

Financial Reporting

NAV

NLRB

Notice Requirements

Proposed Regulation

Reverse Stock Splits

SEC Examination Priorities

Self-Disclosure Requirements

AIFM

CEOs

Compliance Monitoring

Covered Entities

Employment Contract

Enforcement Authority

Environmental Protection Agency (EPA)

Institutional Investors

Judicial Review

Legislative Agendas

Market Manipulation

MSRB

Non-Public Information

Registered Investment Companies (RICs)

Regulatory Violations

401k

Amended Regulation

ASIC

Brokered Deposits

Business Entities

Capital Formation

Cease and Desist Orders

Corner Post Inc v Board of Governors of the Federal Reserve System

Digital Wallets

Economic Sanctions

Financial Adviser

Financial Services Committee

IFRS

Information Technology

Investment Portfolios

NCUA

New Regulations

Pharmaceutical Industry

Proposed Amendments

Registration Statement

Securities Tokens

Shareholder Activism

Stock Repurchases

Business Judgment Rule

Capital Requirements

Corporate Financing

Corporate Sales Transactions

Corporations Code

Customer Information

Employer Liability Issues

Enforcement Priorities

Fair Market Value

Financial Transactions

Food and Drug Administration (FDA)

Incentive Compensation

Intellectual Property Protection

MNPI

National Security

NIST

Objective Falsity

Private Investment Funds

Proxy Advisory Firms

Regulation Best Interest

Sensitive Personal Information

Acquisition Agreements

Capital Requirements Regulation (CRR)

Carbon Emissions

Closed-End Funds

Customer Due Diligence (CDD)

Data Collection

Governance Standards

Healthcare Fraud

Investment Contract

Investment Opportunities

Non-Compete Agreements

Notification Requirements

Online Platforms

Payment Systems

Personal Information

Political Campaigns

Private Equity Firms

Public Rights Doctrine

Real Estate Investments

REIT

Shareholders' Agreements

Smaller Reporting Companies

Anti-Fraud Provisions

Benefit Plan Sponsors

Breach Notification Rule

Business Ownership

Business Strategies

Climate Action Plan

Collateralized Loan Obligations

Compliance Dates

Confidentiality Agreements

Consumer Protection Laws

Credit Facilities

Debt Collection

Department of Financial Protection and Innovation (DFPI)

Department of Health and Human Services (HHS)

Dispute Resolution

Export Controls

FATF

FBI

Financial Instruments

Financial Services and Markets Act

Gold

Guidance Update

Institutional Shareholder Services (ISS)

Know Your Customers

Market Participants

Non-Disclosure Agreement

OSHA

Over The Counter Derivatives (OTC)

Personally Identifiable Information

Pleading Standards

Portfolio Companies

Portfolio Managers

Privately Held Corporations

Public Offerings

QPAM

Regulation Technical Standards (RTS)

Separation Agreement

Settlement Agreements

Shell Corporations

Statutory Violations

Task Force on Climate-related Financial Disclosures (TCFD)

Threshold Requirements

Accounting Standards

Anti-Retaliation Provisions

Bankruptcy Court

Bureau of Industry and Security (BIS)

Business Disputes

Business Litigation

Campaign Contributions

Carbon Off-Set Credits

Central Bank Digital Currency (CBDCs)

CIMA

Continuing Legal Education

Corporate Culture

Data Management

Debt

Electronic Filing

EMIR

Entire Fairness Standard

Federal Contractors

FEPA

Freeze-Out Mergers

Geological Data

Government Investigations

Government Officials

HMRC

Hong Kong Securities and Futures Commission (HKSFC)

Inflation Reduction Act (IRA)

Information Governance

Innovative Technology

Instant Messaging Apps

Limited Liability Company (LLC)

Nvidia Corp v E Ohman J or Fonder AB

Pending Litigation

Permanent Injunctions

Public Statements

Relentless Inc v US Department of Commerce

Renewable Energy

Securities Settlement Cycles

Separation of Powers

Statute of Limitations

Unfair or Deceptive Trade Practices

Uniform Commercial Code (UCC)

Wealth Management

Administrative Agencies

AIFs

American Bar Association (ABA)

Antitrust Provisions

Arbitration Agreements

Asset-Backed Securities

Australian Securities Exchange (ASX)

Bankruptcy Code

Basel Committee on Banking Supervision (BCBS)

Business Development

BVI Business Companies

Capital Investments

CARB

CFOs

Commercial Contracts

Commodities Traders

Commodity Trading Advisors (CTAs)

Compensation & Benefits

Corporate Management

Corporate Securities Act

Corporate Taxes

Criminal Investigations

Cross-Border Transactions

Cybersecurity Information Sharing Act (CISA)

Data Preservation

Decentralized Autonomous Organization (DAO)

Digital Platforms

Equity Securities

European Parliament

Executive Orders

Financial Regulatory Agencies

First Amendment

Foreign Corporations

Foreign Exchanges

Fourteenth Amendment

FTSE

GAAP

General Corporation Law

Incentive Stock Options

Indemnification

Information Reports

Institutional Limited Partners Association (ILPA)

Investment Fraud

Investment Trust Companies

Investor Protection

Licensing Rules

Monetary Authority of Singapore

Non-Prosecution Agreements

OECD

Pending Legislation

Perfected Security Interest

Proxy Voting Guidelines

Purchase Agreement

Real Estate Market

Resource Extraction

Restrictive Covenants

SBA

Secondary Markets

Securitization Standards

Shareholder Meetings

Shareholder Rights

Smart Contracts

Special Purpose Vehicles

State and Local Government

Telecommunications

Terrorism Funding

Transfer Agents

Unregistered Brokers

Accredited Investors

Activist Investors

Advanced Notice of Proposed Rulemaking (ANPRM)

Anti-Dilution Terms

Anti-Terrorism Financing

Australian Competition and Consumer Commission (ACCC)

Banking Regulators

Basket Transactions

British Virgin Islands

Burden of Proof

Business Formation

Buy Now Pay Later (BNPL)

CBCA

CDIs

Cease and Desist

Chamber of Commerce

Coinbase Inc v Suski et al

Congressional Committees

Contract Drafting

Coronavirus/COVID-19

Criminal Conspiracy

Cyber Insurance

Debt Instruments

Debt Securities

Demand Futility

EFTs

Employee Training

Environmental Violations

Equal Employment Opportunity Commission (EEOC)

Equity Compensation

Equity Financing

European Economic Area (EEA)

Fair Labor Standards Act (FLSA)

Federal Funding

Federal Register

Federal Rules of Civil Procedure

FERC

Financial Reporting Council (FRC)

Financial Stability Board

Foreign Entities

Foreign Issuers

FSMA

Futures Commission Merchants (FCMs)

Government Entities

Gramm-Leach-Blilely Act

Health Care Providers

Holding Companies

Illiquid Assets

Insider Information

Insured Depository Institutions

Intent to Defraud

Internal Investigations

Internal Reporting

Magnuson-Stevens Act (MSA)

Money Market Funds

Money Transmitter

Municipal Securities Market

National Marine Fisheries Service

NDAA

No-Action Letters

Non-Bank Lenders

Ohio v Environmental Protection Agency

Passive Investments

Personal Liability

Petition for Writ of Certiorari

Policy Statement

Preliminary Injunctions

Price Inflation

Private Placements

Prudential Standards

Public Interest

Registration Fees

Regular Business Communications

Regulatory Agencies

Required Documentation

Research Funding

Right to a Jury

Securities Exchanges

Securitization Market

Security and Privacy Controls

Serious Fraud Office (SFO)

Small and Medium-Sized Enterprises (SMEs)

Stakeholder Engagement

Standard of Review

Statutory Trusts

Stock Purchase Agreement

Stock Redemption

Strategic Planning

Terrorist Financing Regulations

Third-Party Service Provider

Trade Associations

Trading Policies

Unfair Competition

Unjust Enrichment

Accelerated Filers

Administrative Appeals

Administrative Stay

Affirmative Defenses

Aiding and Abetting

Amended Legislation

American Airlines

Angel Investors

Anti-Kickback Statute

Antitrust Division

Appellate Courts

Asia

Audit Committee

Automated Decision Systems (ADS)

Aviation Industry

Bank Recovery and Resolution Directive (BRRD)

Bankruptcy Trustees

Bars

Best Interest Standard

Bots

British Columbia Securities Commission

Brokerage Accounts

Business Divorce

Business Expenses

California Privacy Protection Agency (CPPA)

Campaign Finance Reform

Capital Gains Tax

Capital Structures

Carve Out Provisions

Case Consolidation

Central Bank of Ireland

Class Certification

Closely Held Businesses

Code of Conduct

Commercial Insurance Policies

Commercial Real Estate Market

Commission Delegated Regulation

Competition Act

Complex Corporate Transactions

Confidentiality Policies

Consumer Financial Protection Act (CFPA)

Consumer Protection Act

Contests & Promotions

Contract Disputes

Convertible Notes

COOs

Corporate Charters

Corporate Dissolution

Corporate Entities

Corporate Executives

Corporate Finance

Corporate Liability

Corporate Structures

Covered Transactions

Credit Rating Agencies

Critical Infrastructure Sectors

Currency Transaction Reports (CTR)

Customer Privacy

Cyber Incident Reporting for Critical Infrastructure Act of 2022 (CIRCIA)

Declaratory Relief

Deferred Prosecution Agreements

Department of Defense (DOD)

Department of Energy (DOE)

Department of Homeland Security (DHS)

Depository Institutions

DIFC

Digital Securities

Digital Services

Dissenting Opinions

Document Management

Domestic Corporations

EGCs

Employment Discrimination

Enforcement Statistics

Entertainment Industry

Environmental Litigation

EU Market Abuse Regulation (EU MAR)

Exchange-Traded Products