Browse Related Topics For:

Securities › Health › Civil Remedies

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Corporate Governance

Securities Regulation

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 Exchange Act

Securities Fraud

CFTC

Corporate Transparency Act

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Regulatory Agenda

Financial Institutions

Securities Exchange Act of 1934

Financial Industry Regulatory Authority (FINRA)

Artificial Intelligence

Capital Markets

UK

Regulatory Requirements

Investment Advisers Act of 1940

Board of Directors

Anti-Money Laundering

Special Purpose Acquisition Companies (SPACs)

Securities Act of 1933

Initial Public Offering (IPO)

EU

Foreign Corrupt Practices Act (FCPA)

Insider Trading

White Collar Crimes

Investment Management

Corporate Social Responsibility

Investment Funds

Financial Conduct Authority (FCA)

Stock Repurchases

Financial Markets

Registered Investment Advisors

Whistleblower Protection Policies

Policies and Procedures

Recordkeeping Requirements

Crypto Exchanges

Cyber Incident Reporting

Investment Company Act of 1940

Financial Regulatory Reform

Corporate Counsel

Macquarie Infrastructure Corp v Moab Partners LP

Anti-Corruption

Misrepresentation

Regulatory Reform

Conflicts of Interest

Money Laundering

Regulatory Oversight

Financial Crimes

Civil Monetary Penalty

Federal Trade Commission (FTC)

Misleading Statements

Venture Capital

Consumer Financial Protection Bureau (CFPB)

Financial Statements

National Security

ETFs

Federal Reserve

Whistleblower Awards

Risk Assessment

Bank Secrecy Act

Criminal Prosecution

Filing Deadlines

Internal Controls

European Securities and Markets Authority (ESMA)

IRS

Material Misstatements

Corporate Misconduct

Failure To Disclose

Putative Class Actions

Administrative Procedure Act

Canadian Securities Administration

Electronic Communications

Executive Compensation

Machine Learning

Bank of England

Decentralized Finance (DeFi)

Financial Reporting

Office of Foreign Assets Control (OFAC)

Asset Management

Capital Raising

Climate Action Plan

Constitutional Challenges

NYSE

Proposed Amendments

Securities Transactions

Smaller Reporting Companies

Consumer Financial Products

Corporate Issuers

Filing Requirements

Investment Companies

OCC

Regulatory Standards

Suspicious Activity Reports (SARs)

Chief Information Security Officer (CISO)

Emerging Growth Companies

False Statements

FDIC

Futures Commission Merchants (FCMs)

Limited Liability Company (LLC)

NDAA

Non-Fungible Tokens (NFTs)

Proxy Statements

Trading Platforms

Voluntary Disclosure

Commodity Exchange Act (CEA)

Confidential Information

Foreign Private Issuers

Rulemaking Process

Unregistered Securities

Adverse Employment Action

Controlling Stockholders

European Commission

Exchange-Traded Products

FBI

Hong Kong Stock Exchange

Market Participants

Shell Corporations

Technology Sector

Accredited Investors

Business Entities

Corporate Officers

FHFA

Listing Standards

Murray v UBS Securities LLC

NPRM

Delaware General Corporation Law

Digital Currency

Distributed Ledger Technology (DLT)

First Amendment

Material Nonpublic Information

Misappropriation

Proxy Voting Guidelines

Anti-Retaliation Provisions

Chief Compliance Officers

Diversity and Inclusion Standards (D&I)

Hong Kong Securities and Futures Commission (HKSFC)

Institutional Investors

Prudential Regulation Authority (PRA)

Registration Requirement

Task Force on Climate-related Financial Disclosures (TCFD)

Alternative Investment Fund Managers Directive (AIFMD)

Confidentiality Agreements

Employer Liability Issues

False Claims Act (FCA)

Financial Transactions

Investment Firms

New Regulations

Pharmaceutical Industry

Self-Disclosure Requirements

Shareholder Litigation

Shareholder Proposals

Virtual Currency

Compliance Dates

Corporate Crimes

Data Protection

Economic Sanctions

European Banking Authority (EBA)

Financial Services Committee

GAAP

Institutional Shareholder Services (ISS)

Investment Contract

Investment Opportunities

Investor Protection

Proposed Legislation

Proposed Regulation

REIT

Retirement Plan

Risk Mitigation

SBA

UBS

Administrative Proceedings

Business Ownership

Business Strategies

Carbon Emissions

Customer Due Diligence (CDD)

Department of Labor (DOL)

Environmental Policies

Foreign Investment

Internal Revenue Code (IRC)

MNPI

Ontario Securities Commission (OSC)

Private Equity Funds

Public Offerings

Real Estate Investments

Regulatory Violations

Retail Investors

SEC Examination Priorities

Shareholder Rights

Smart Contracts

Unconstitutional Condition

Administrative Law Judge (ALJ)

Amended Regulation

Biden Administration

Compensation & Benefits

Criminal Penalties

Employee Retirement Income Security Act (ERISA)

Governance Standards

Market Manipulation

MD&A Statements

New Legislation

Non-Public Information

State Attorneys General

Summary Judgment

Sustainable Business Practices

Books & Records

Business Litigation

Capital Investments

Chamber of Commerce

Commodity Trading Advisors (CTAs)

Consumer Lenders

Coronavirus/COVID-19

DE Supreme Court

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Employee Benefits

Enforcement Priorities

Environmental Protection Agency (EPA)

FEPA

Food and Drug Administration (FDA)

HKEx

Incentive Compensation

Incident Response Plans

Investment Portfolios

NAV

NCUA

NIST

Ownership Interest

Portfolio Companies

Proxy Advisory Firms

Regulatory Authority

Renewable Energy

Securities Dealers

Securities Tokens

Securities Traders

Shareholder Activism

Statutory Violations

XBRL Filing Requirements

Asset-Backed Securities

Capital Formation

Cease and Desist Orders

Commercial Bankruptcy

Continuing Legal Education

Debt Securities

Department of Financial Protection and Innovation (DFPI)

Derivatives Clearing Organizations

Employment Contract

Equity Securities

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

Foreign Corporations

Foreign Direct Investment

Internal Investigations

Non-GAAP Financial Measures

Privately Held Corporations

Registration Statement

Regulation Technical Standards (RTS)

Securitization Standards

Security-Based Swaps

Seventh Amendment

Shareholder Meetings

Sustainable Finance

Terrorism Funding

Trading Policies

Anti-Fraud Provisions

Bankruptcy Code

Bankruptcy Court

British Columbia Securities Commission

CDIs

Clearing Agencies

Closed-End Funds

Criminal Investigations

Data Collection

Department of Energy (DOE)

Entire Fairness Standard

Executive Orders

FATF

Federal Contractors

Financial Instruments

Financial Services and Markets Act

Foreign Entities

FSMA

Hiring & Firing

Information Reports

Information Technology

Insurance Industry

Investment Products

Judicial Review

Know Your Customers

Limited Partnerships

Merger Agreements

Motion to Dismiss

No-Action Letters

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

OECD

Passive Investments

Pay-for-Performance

Personal Information

Portfolio Managers

Protected Activity

Regulation Best Interest

Repurchase Agreements

SFDR

Stock Purchase Agreement

Syndicated Loans

Administrative Stay

Alternative Investment Funds

British Columbia Securities Commission (BCSC)

Business Disputes

Business Judgment Rule

Class Certification

Commerce Clause

Commodities Traders

Consumer Protection Act

Corporate Taxes

Corporations Code

Cybersecurity Information Sharing Act (CISA)

Designated Contract Markets (DCMs)

Digital Securities

Dispute Resolution

Export Controls

Financial Adviser

General Data Protection Regulation (GDPR)

Information Sharing

Initial Coin Offering (ICOs)

Intellectual Property Protection

International Emergency Economic Powers Act (IEEPA)

ISDA

Law Enforcement

Legislative Agendas

Mortgage-Backed Securities

Municipal Bonds

Policy Statement

Political Contributions

Private Equity Firms

Private Right of Action

Quarterly Report

Securities Exchanges

Securitization Market

Serious Fraud Office (SFO)

Shareholder Votes

Stockholder Agreements

Third-Party Risk

Threshold Requirements

Total Shareholder Return (TSR)

401k

Accounting Standards

Activist Investors

AIFM

Antitrust Provisions

Appellate Courts

Benefit Plan Sponsors

CEOs

Commercial Litigation

Compliance Monitoring

Corporate Financing

Critical Infrastructure Sectors

Debt

Department of Defense (DOD)

Digital Wallets

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)

Innovative Technology

Instant Messaging Apps

Institutional Investment

Licensing Rules

Long-Term Investment Funds

Money Transmitter

MSRB

Multidistrict Litigation

Non-Disclosure Agreement

Objective Falsity

OMB

Online Platforms

Predictive Analytics

Price Inflation

Public Disclosure

Public Meetings

Reverse Stock Splits

Sanction Violations

SEC Comment Letter Process

Shareholder Approval

Split of Authority

SRO

Statutory Trusts

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

Congressional Review Act

Consultation Papers

Consumer Financial Protection Act (CFPA)

Cooling-Off Rule

Corporate Culture

Corporate Entities

Corporate Sales Transactions

Corporate Securities Act

CPOs

Credit Facilities

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

Financial Promotions

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

Internal Rate of Return (IRR)

Investment Fraud

Israel Securities Authority (ISA)

Loan Origination Funds

London Stock Exchange

Major Swap Participants

Material Misrepresentation

Merger Controls

NSBA

Open-Ended Fund Companies (OFCs)

Operating Agreements

PFAS

Prejudgment Interest

Private Investment Funds

Private Placements

Prohibited Transactions

Proposed Guidance

Public Consultations

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

Swap Execution Facilities

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

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 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

IARD

ICFR

IFRS

Incentive Awards