Browse Related Topics For:

Securities › Finance & Banking › Antitrust & Trade Regulation

See Latest Updates »

Securities and Exchange Commission (SEC)

Regulatory Requirements

Securities Regulation

Regulatory Reform

Corporate Governance

Disclosure Requirements

Risk Management

Capital Markets

Enforcement Actions

Reporting Requirements

Regulatory Oversight

Financial Services Industry

Publicly-Traded Companies

UK

EU

Investment Funds

New Legislation

Financial Institutions

Artificial Intelligence

Environmental Social & Governance (ESG)

Financial Regulatory Reform

Financial Markets

CFTC

Financial Conduct Authority (FCA)

Anti-Money Laundering

Trump Administration

Investment Management

Regulatory Agenda

Department of Justice (DOJ)

Securities Litigation

Rulemaking Process

Initial Public Offering (IPO)

Board of Directors

Securities Exchange Act of 1934

Securities Fraud

Investment Adviser

Policies and Procedures

Proposed Legislation

European Securities and Markets Authority (ESMA)

Executive Orders

Asset Management

Compliance Management Systems

Anti-Corruption

Cross-Border Transactions

Venture Capital

Securities Act of 1933

New Regulations

Filing Requirements

European Commission

401k

Shareholder Litigation

White Collar Crimes

Decentralized Finance (DeFi)

Investment Advisers Act of 1940

Capital Raising

Internal Controls

Employee Retirement Income Security Act (ERISA)

Department of Labor (DOL)

Filing Deadlines

Foreign Corrupt Practices Act (FCPA)

Financial Industry Regulatory Authority (FINRA)

Retail Investors

Technology Sector

Compliance Monitoring

Corporate Counsel

No-Action Letters

Executive Compensation

Financial Crimes

Retirement Plan

Foreign Private Issuers

Shareholder Proposals

Employee Benefits

Registered Investment Advisors

Machine Learning

Corporate Culture

Investment Company Act of 1940

Insider Trading

National Security

Payment Systems

Corporate Misconduct

Sustainable Finance

Enforcement Priorities

Motion to Dismiss

Criminal Prosecution

Crypto Exchanges

Delaware General Corporation Law

Government Shutdown

Federal Reserve

OCC

European Banking Authority (EBA)

Institutional Investors

Proposed Amendments

Registration Statement

Business Strategies

Consumer Financial Products

Internal Revenue Code (IRC)

Proxy Statements

Consumer Protection Laws

Shareholder Rights

Conflicts of Interest

Defined Contribution Plans

Appellate Courts

Exchange-Traded Products

Misleading Statements

Business Entities

Special Purpose Acquisition Companies (SPACs)

Constitutional Challenges

Private Equity Funds

Government Agencies

Public Offerings

Risk Assessment

State and Local Government

Diversity and Inclusion Standards (D&I)

Mandatory Arbitration Clauses

Prudential Regulation Authority (PRA)

Qualified Small Business Stock

Securities Exchange Act

Greenhouse Gas Emissions

Insurance Industry

Pharmaceutical Industry

Registration Requirement

Distributed Ledger Technology (DLT)

Economic Sanctions

International Trade

Suspicious Activity Reports (SARs)

Capital Requirements

Financial Reporting

Consultation Papers

ETFs

Institutional Shareholder Services (ISS)

Money Laundering

Alternative Investment Fund Managers Directive (AIFMD)

Bank Secrecy Act

Recordkeeping Requirements

Securities Violations

State Attorneys General

Accredited Investors

Bank of England

CARB

Compensation & Benefits

FDIC

Investor Protection

IRS

Alternative Investment Funds

Beneficial Owner

Capital Formation

Chief Compliance Officers

Commodity Exchange Act (CEA)

Compliance Dates

Fees

Putative Class Actions

Shareholder Meetings

Statutory Interpretation

Internal Investigations

Policy Statement

Capital Requirements Regulation (CRR)

Consumer Financial Protection Bureau (CFPB)

One Big Beautiful Bill Act

Regulation Technical Standards (RTS)

Business Litigation

Canadian Securities Administration

Emerging Growth Companies

Merger Agreements

Office of Foreign Assets Control (OFAC)

Regulatory Authority

Closed-End Funds

Federal Arbitration Act

Proxy Advisory Firms

Regulatory Agencies

Shareholder Activism

Activist Investors

Asset-Backed Securities

Attorney-Client Privilege

Corporate Taxes

Data Protection

Employee Training

Foreign Investment

Litigation Strategies

Market Manipulation

Real Estate Investments

Benefit Plan Sponsors

Corporate Sustainability Reporting Directive (CSRD)

Digital Currency

EMIR

Environmental Policies

First Amendment

Non-Fungible Tokens (NFTs)

Preliminary Injunctions

SFDR

Task Force on Climate-related Financial Disclosures (TCFD)

Investment Contract

Investment Opportunities

Arbitration Agreements

False Claims Act (FCA)

Food and Drug Administration (FDA)

Incident Response Plans

Secondary Markets

Senate Banking Committee

Trading Platforms

Commercial Bankruptcy

Innovative Technology

Investment Firms

Private Equity Firms

Professional Development

REIT

Third-Party Risk

Administrative Procedure Act

Bankruptcy Code

Biden Administration

Contract Disputes

Dispute Resolution

Training Requirements

ASIC

Bankruptcy Court

Business Development

Convertible Notes

European Supervisory Authorities (ESAs)

Public Consultations

Acquisition Agreements

Debt

Federal Trade Commission (FTC)

Geopolitical Risks

Judicial Authority

Legislative Agendas

Limited Partnerships

No-Action Requests

Self-Disclosure Requirements

Settlement Agreements

US Trade Policies

Automation Systems

Books & Records

Business Judgment Rule

Central Bank Digital Currency (CBDCs)

Controlling Stockholders

Digital Operational Resilience Act (DORA)

Division of Corporate Finance

Early Stage Companies

Emerging Technologies

Equity Compensation

Exit Strategies

Export Controls

General Data Protection Regulation (GDPR)

Intellectual Property Protection

NYSE

Ontario Securities Commission (OSC)

Private Placements

Strategic Planning

Unregistered Securities

Voluntary Disclosure

Whistleblower Protection Policies

Work-Product Doctrine

British Virgin Islands

Career Development

Contract Interpretation

Corporate Finance

COSO

Derivative Suit

Designated Contract Markets (DCMs)

Employee Engagement

Exempt Reporting Advisers (ERAs)

Licensing Rules

Private Investment Funds

Securitization Standards

Third-Party Service Provider

Transfer Agents

Antitrust Provisions

Capital Gains Tax

CEOs

Continuing Legal Education

Debt Securities

Equity Financing

Insurance Litigation

Internal Communications

Material Nonpublic Information

Misrepresentation

Non-Bank Lenders

Private Investment in Public Equity (PIPEs)

Privately Held Corporations

Regulatory Standards

Virtual Currency

Administrative Appointments

Business Ownership

Collective Investment Schemes

Corporate Crimes

Corporate Officers

Corporate Restructuring

Customer Identification Program (CIP)

Debt Restructuring

Foreign Issuers

Healthcare Fraud

Insurance Regulations

Joint Statements

Know Your Customers

Limited Liability Company (LLC)

Market Participants

Online Platforms

Proxy Materials

SAFE

Securities Tokens

Securities Transactions

Securitization Market

Advanced Notice of Proposed Rulemaking (ANPRM)

Alternative Trading System (ATS)

Amended Regulation

Automated Decision Systems (ADS)

Breach of Contract

Business Formation

Central Counterparties

Commercial Litigation

Corporate Financing

Demand Futility

Department of Financial Protection and Innovation (DFPI)

Digital Wallets

Electronic Communications

Failure to Prevent

FHFA

Financial Fraud

Financial Reporting Council (FRC)

Financial Services and Markets Act

Financial Statements

Guidance Update

International Tax Issues

Investment Products

Money Transmitter

Mortgage-Backed Securities

National Competent Authorities (NCA)

Pending Litigation

Private Company Shares

Private Securities Litigation Reform Act of 1995

Proxy Voting Guidelines

Serious Fraud Office (SFO)

Small and Medium-Sized Enterprises (SMEs)

Smart Contracts

Stakeholder Engagement

Sustainable Business Practices

Tax Legislation

Whistleblower Awards

Anti-Retaliation Provisions

Antitrust Violations

Banking Regulators

Business Development Companies

Cease and Desist Orders

CFOs

Clearing Agencies

Content Marketing

Corporate Social Responsibility

Dual Class Share Structures

Electronic Filing

Financial Services Committee

Foreign Corporations

Foreign Entities

GAAP

Governance Standards

Guidance Documents

Investment Companies

Mandamus Petitions

Material Misstatements

Notice of Proposed Rulemaking (NOPR)

Personal Liability

Private Right of Action

Real Estate Transactions

Regulatory Violations

Reverse Mergers

SEC Comment Letter Process

Securities Exchanges

Securities Settlement Cycles

Securitization Vehicles

State of Incorporation

Statute of Limitations

Unfair or Deceptive Trade Practices

Administrative Proceedings

Amended Legislation

Anti-Fraud Provisions

Appropriations Bill

Asia

Bureau of Industry and Security (BIS)

Carried Interest

Chief Ethics and Compliance Officers (CECO)

Class Certification

Confidential Information

Consumer Privacy Rights

Coronavirus/COVID-19

Corporate Communications

Corporate Sales Transactions

Corporate Transparency Act

Corporations Code

Credit Facilities

Digital Securities

Document Productions

Employer Liability Issues

Employment Litigation

Enforcement Guidance

Environmental Litigation

Equity Securities

European Central Bank

Fair Market Value

FATF

Financial Stability Board

Foreign Boards of Trade (FBOT)

FSMA

Government Investigations

HMRC

Insurance Claims

Internal Audit Functions

International Sustainability Standards Board (ISSB)

Investment Portfolios

Island of Guernsey

Judicial Review

Limited Partnership Agreements

Mandatory Arbitration

Market Conditions

Material Misrepresentation

MD&A Statements

Merger Controls

Misappropriation

NAV

Petition for Writ of Certiorari

Plan Participants

Portfolio Companies

Prescription Drugs

Prospectus Regulation (PR3)

Registered Funds

Registered Investment Companies (RICs)

Renewable Energy

Representations and Warranties

State Securities Regulators

Time Extensions

Wealth Management

AIFs

Angel Investors

Antitrust Litigation

Asset Valuations

Australian Securities Exchange (ASX)

C-Suite Executives

Carbon Emissions

CIMA

Civil Monetary Penalty

Code of Conduct

Collateralized Loan Obligations

Common Reporting Standard (CRS)

Content Publishing

Convertible Debt

Corporate Issuers

Criminal Investigations

Crisis Management

Customs and Border Protection

Cyber Incident Reporting

Data Collection

Data Management

Debt Instruments

Depository Institutions

Employment Policies

ERISA Litigation

EU Market Abuse Regulation (EU MAR)

Financial Promotions

Foreign Currency

Fraud Prevention

Fraudulent Transfers

Hiring & Firing

Hong Kong Stock Exchange

IFRS

Incentive Compensation

Incentive Stock Options

Information Governance

Information Technology

Insurance Contracts

Internal Reporting

Investment Fraud

Legal Technology

Loper Bright Enterprises v Raimondo

Minority Shareholders

Natural Language Processing

Notice Requirements

Notification Requirements

Partnership Agreements

Pay-for-Performance

Proposed Regulation

Real Estate Development

Regulation Best Interest

Request For Information

Research and Development

Risk Mitigation

Scheme of Arrangement

Settlement Offer

Shareholder Votes

Smaller Reporting Companies

Speak-up Cultures

State Privacy Laws

Structured Finance

Succession Planning

Summary Judgment

Tax Cuts and Jobs Act

Terrorist Financing Regulations

Thought Leadership

Trade Relations

Trading Policies

Administrative Resignation

Advisory Opinions

Aiding and Abetting

AIFM

Algorithmic Trading

Anti-Kickback Statute

Anti-Terrorism Financing

Antitrust Division

Antitrust Investigations

Articles of Incorporation

Asset-Based Lending

Audit Committee

Aviation Industry

Bots

Business Continuity Plans

Business Operations

Buy Now Pay Later (BNPL)

Capital Markets Union

Central Bank of Ireland

Change Management

Close-Ended Funds

Co-Investment Rights

Community Banks

Community Reinvestment Act

Confidential Witnesses

Consolidated Audit Trail

Convertible Bonds

Corporate Charters

Credit Agreements

Critical Infrastructure Sectors

CSDR

Currency Transaction Reports (CTR)

Customer Due Diligence (CDD)

Customer Information

Debtors-in-Possession

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Denial of Certiorari

Department of Health and Human Services (HHS)

Discovery Disputes

Distressed Assets

Emerging Markets

Employment Contract

Enforcement Authority

EU Benchmark Regulation

Extraterritoriality Rules

FBI

Federal Food Drug and Cosmetic Act (FFDCA)

Federal Funding

Federal Rules of Civil Procedure

Federal v State Law Application

Forensic Accounting

Forum Selection

Fraud and Abuse

General Partner

General Partnerships

Health Care Providers

Holding Companies

Hong Kong Monetary Authority (HKMA)

Iran

Law Enforcement

Listing Standards

Loan Agreements

London Stock Exchange

Margin Requirements

Medical Devices

Mineral Exploration

MNPI

National Bank Charters

Non-GAAP Financial Measures

OECD

Online Safety for Children

Operational Requirements

Over The Counter Derivatives (OTC)

Pending Legislation

Predictive Analytics

Privileged Documents

Proxy Solicitations

Quarterly Report

Real Estate Financing

Regulatory Burden

Regulatory Freeze

Reinsurance Agreements

Reputation Management

Retirement Plan Providers

Reverse Mortgages

Right of Redemption

Section 220 Request

Security Token Offering (STOs)

Security-Based Swaps

Shareholders' Agreements

SIBA

Special Purpose Vehicles

Split of Authority

State Legislatures

Statutory Authority

Stewardship Code

Stock Purchase Agreement

Stock Repurchases

Structured Financial Products

Supervisory Guidance

Take-Private Transactions

Trademark Infringement

Trademark Litigation

U.S. Commerce Department

Unconstitutional Condition

Uniform Commercial Code (UCC)

United Arab Emirates (UAE)

Visa Requirements

Wash Sale Rules

Women in the Law

Writ of Mandamus

Accounting Fraud

Accounting Standards

Administrative Law Judge (ALJ)

Administrative Procedure

Alternative Minimum Tax

Arbitration Awards

Asset Diversification