Browse Related Topics For:

Securities › Professional Malpractice › Residential Real Estate

See Latest Updates »

Securities and Exchange Commission (SEC)

Disclosure Requirements

Corporate Governance

Securities Regulation

Publicly-Traded Companies

Enforcement Actions

Reporting Requirements

Investment Adviser

Environmental Social & Governance (ESG)

Financial Services Industry

Beneficial Owner

Department of Justice (DOJ)

Securities Exchange Act

Securities Violations

CFTC

Corporate Transparency Act

Securities Fraud

Securities Litigation

Greenhouse Gas Emissions

Risk Management

Regulatory Agenda

Financial Institutions

Securities Exchange Act of 1934

Capital Markets

Anti-Money Laundering

Financial Industry Regulatory Authority (FINRA)

Regulatory Requirements

Artificial Intelligence

UK

Board of Directors

Special Purpose Acquisition Companies (SPACs)

Foreign Corrupt Practices Act (FCPA)

Investment Advisers Act of 1940

Securities Act of 1933

EU

Initial Public Offering (IPO)

White Collar Crimes

Investment Funds

Insider Trading

Investment Management

Stock Repurchases

Whistleblower Protection Policies

Financial Markets

Financial Conduct Authority (FCA)

Corporate Social Responsibility

Investment Company Act of 1940

Cyber Incident Reporting

Recordkeeping Requirements

Corporate Counsel

Financial Regulatory Reform

Crypto Exchanges

Policies and Procedures

Registered Investment Advisors

Regulatory Reform

Anti-Corruption

Conflicts of Interest

Filing Deadlines

Money Laundering

Financial Crimes

Civil Monetary Penalty

Misrepresentation

Federal Trade Commission (FTC)

Regulatory Oversight

Consumer Financial Protection Bureau (CFPB)

ETFs

Administrative Procedure Act

National Security

Venture Capital

Bank Secrecy Act

Federal Reserve

Financial Statements

Putative Class Actions

Risk Assessment

Whistleblower Awards

Internal Controls

Machine Learning

Criminal Prosecution

European Securities and Markets Authority (ESMA)

Material Misstatements

Misleading Statements

Investment Companies

Asset Management

Canadian Securities Administration

Chief Information Security Officer (CISO)

Executive Compensation

Macquarie Infrastructure Corp v Moab Partners LP

Smaller Reporting Companies

Climate Action Plan

Corporate Misconduct

FDIC

IRS

OCC

Proposed Amendments

SEC Examination Priorities

Bank of England

Filing Requirements

NDAA

Office of Foreign Assets Control (OFAC)

Constitutional Challenges

Consumer Financial Products

European Commission

Financial Reporting

Foreign Private Issuers

Limited Liability Company (LLC)

Market Participants

NYSE

Securities Transactions

Trading Platforms

Commodity Exchange Act (CEA)

Failure To Disclose

Futures Commission Merchants (FCMs)

Regulatory Standards

Suspicious Activity Reports (SARs)

Capital Raising

Decentralized Finance (DeFi)

Emerging Growth Companies

Non-Fungible Tokens (NFTs)

Voluntary Disclosure

Confidential Information

Electronic Communications

Exchange-Traded Products

False Statements

Proxy Statements

Adverse Employment Action

Chief Compliance Officers

Corporate Issuers

First Amendment

New Regulations

Rulemaking Process

Shell Corporations

Technology Sector

Unregistered Securities

Controlling Stockholders

Distributed Ledger Technology (DLT)

FBI

Hong Kong Stock Exchange

Institutional Investors

Listing Standards

NPRM

Prudential Regulation Authority (PRA)

Task Force on Climate-related Financial Disclosures (TCFD)

Accredited Investors

Business Entities

Business Ownership

Corporate Officers

Data Protection

Digital Currency

Diversity and Inclusion Standards (D&I)

Murray v UBS Securities LLC

Retirement Plan

Anti-Retaliation Provisions

Compliance Dates

New Legislation

Risk Mitigation

Delaware General Corporation Law

Department of Labor (DOL)

FHFA

Hong Kong Securities and Futures Commission (HKSFC)

Information Technology

Misappropriation

Proxy Voting Guidelines

Registration Requirement

Retail Investors

Shareholder Litigation

Shareholder Proposals

Virtual Currency

Alternative Investment Fund Managers Directive (AIFMD)

Confidentiality Agreements

Employee Retirement Income Security Act (ERISA)

Employer Liability Issues

Institutional Shareholder Services (ISS)

Investor Protection

Self-Disclosure Requirements

Shareholder Rights

Customer Due Diligence (CDD)

Economic Sanctions

Employee Benefits

European Banking Authority (EBA)

False Claims Act (FCA)

GAAP

Investment Contract

Investment Opportunities

MNPI

NIST

Ontario Securities Commission (OSC)

Regulatory Violations

REIT

Shareholder Activism

UBS

Administrative Proceedings

Carbon Emissions

Chamber of Commerce

Compensation & Benefits

Coronavirus/COVID-19

Corporate Crimes

Environmental Policies

Equity Securities

Financial Services Committee

Financial Transactions

Foreign Investment

Governance Standards

Incident Response Plans

Internal Revenue Code (IRC)

Investment Firms

Material Nonpublic Information

NAV

Non-Public Information

Pharmaceutical Industry

Proposed Legislation

Proposed Regulation

Public Offerings

Regulatory Authority

SBA

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

Commodity Trading Advisors (CTAs)

Criminal Penalties

Department of Financial Protection and Innovation (DFPI)

Employment Contract

Environmental Protection Agency (EPA)

Food and Drug Administration (FDA)

Incentive Compensation

Internal Investigations

Market Manipulation

Motion to Dismiss

Ownership Interest

Real Estate Investments

Regulation Best Interest

XBRL Filing Requirements

Biden Administration

Compliance Monitoring

Consumer Lenders

Continuing Legal Education

Decentralized Autonomous Organization (DAO)

Deferred Prosecution Agreements

Enforcement Priorities

HKEx

Investment Portfolios

MD&A Statements

NCUA

Non-GAAP Financial Measures

Passive Investments

Portfolio Companies

Portfolio Managers

Registration Statement

Renewable Energy

Securities Dealers

Securities Traders

Seventh Amendment

Statutory Violations

Sustainable Finance

401k

Business Litigation

Capital Investments

Class Certification

Commercial Bankruptcy

DE Supreme Court

Debt Securities

Derivatives Clearing Organizations

Exempt Reporting Advisers (ERAs)

FCPA Corporate Enforcement Policy (CEP)

FEPA

Foreign Corporations

Foreign Direct Investment

Foreign Entities

FSMA

Investment Fraud

Know Your Customers

Private Equity Funds

Privately Held Corporations

Regulation Technical Standards (RTS)

Repurchase Agreements

Securities Tokens

Securitization Standards

Security-Based Swaps

Shareholder Meetings

Terrorism Funding

Trading Policies

Anti-Fraud Provisions

Appellate Courts

Bankruptcy Code

Bankruptcy Court

British Columbia Securities Commission

Capital Formation

CDIs

Cease and Desist Orders

CFOs

Closed-End Funds

Compliance Management Systems

Criminal Investigations

Data Collection

Department of Energy (DOE)

Entire Fairness Standard

Executive Orders

FATF

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

Mortgage-Backed Securities

No-Action Letters

Non-Prosecution Agreements

Notice of Proposed Rulemaking (NOPR)

OECD

Pay-for-Performance

Personal Information

Protected Activity

Proxy Advisory Firms

Quarterly Report

SFDR

Syndicated Loans

Administrative Stay

Books & Records

British Columbia Securities Commission (BCSC)

Business Judgment Rule

CEOs

Commodities Traders

Congressional Review Act

Consumer Protection Act

Corporate Taxes

Corporations Code

Cybersecurity Information Sharing Act (CISA)

Designated Contract Markets (DCMs)

Dispute Resolution

Export Controls

Federal Contractors

Fees

Financial Adviser

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

Merger Agreements

Policy Statement

Pooled Investment Vehicles

Price Inflation

Private Equity Firms

Securities Exchanges

Securitization Market

Serious Fraud Office (SFO)

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

Burden of Proof

CBCA

Commerce Clause

Commercial Litigation

Critical Infrastructure Sectors

Customer Identification Program (CIP)

Debt

Department of Defense (DOD)

Digital Securities

Early Stage Companies

EFTs

Enforcement Statistics

Equal Protection

False Advertising

FASB

Federal Acquisition Regulations (FAR)

Federal Rules of Civil Procedure

Financial Regulatory Agencies

FSOC

General Corporation Law

Gramm-Leach-Blilely Act

Indemnification

Inflation Reduction Act (IRA)

Innovative Technology

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

Private Right of Action

Public Disclosure

Registered Funds

Regular Business Communications

Reverse Stock Splits

Safeguards Rule

Sanction Violations

SEC Comment Letter Process

Separation Agreement

Shareholder Approval

Statutory Trusts

Tax Exempt Entities

Third-Party Risk

Universal Proxy Cards

Affirmative Action

AIFM

Alberta Securities Commission

Anti-Kickback Statute

Arbitrary and Capricious

ASIC

Audit Committee

Business Disputes

California Consumer Privacy Act (CCPA)

Capital Requirements

CARB

Carbon Off-Set Credits

CCA

Centers for Medicare & Medicaid Services (CMS)

Chevron Deference

Consolidated Audit Trail

Consultation Papers

Consumer Financial Protection Act (CFPA)

Cooling-Off Rule

Corporate Culture

Corporate Financing

CPOs

Credit Agreements

Credit Facilities

Criminal Conspiracy

Criminal Liability

Customer Protection Rule

Data Management

Data Preservation

Debt Collection

Declaratory Judgments

Department of Homeland Security (DHS)

Derivative Suit

Electric Vehicles

Emerging Technology Companies

Energy Information Association (EIA)

Enforcement Authority

Estate Planning

EU Benchmark Regulation

Fair Credit Reporting Act (FCRA)

Federal Pilot Programs

Federal Sentencing Guidelines

FICC

Fifth Amendment

Financial Promotions

Foreign Exchanges

Fourteenth Amendment

Fourth Amendment

Fraudulent Transfers

GAO

General-Business

Government Investigations

Government Securities

Green Infrastructure

Healthcare Fraud

IARD

Inflation Adjustments

Injunctive Relief

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 Controls

NLRB

Non-Disclosure Agreement

NSBA

Online Platforms

Open-Ended Fund Companies (OFCs)

Operating Agreements

OSHA

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

Settlement Agreements

Small and Medium-Sized Enterprises (SMEs)

Special Purpose Vehicles

Split of Authority

Statutory Interpretation

Stockholder Agreements

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)

American Bar Association (ABA)

Anti-Discrimination Policies

Anti-Terrorism Financing

Arbitration Agreements

Attorney-Client Privilege

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

Central Bank Digital Currency (CBDCs)

CFTC Enforcement Manual

Change of Control

Charter Communications

Chicago Mercantile Exchange (CME)

CMBS

Code of Conduct

Collateralized Loan Obligations

Community Reinvestment Act

Complex Corporate Transactions

Consumer Protection Laws

Corporate Charters

Corporate Entities

Corporate Executives

Corporate Management

Corporate Restructuring

Corporate Sales Transactions

Corporate Securities Act

Counter-Terrorist

Cross-Border Transactions

Cybersecurity Framework

Debt Restructuring

Deferred Compensation

Department of Education

Depository Institutions

Digital Platforms

Digital Wallets

Disciplinary Proceedings

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

Fair-Notice Standard

FCC

Federal Funding

Federal Housing Administration (FHA)

Federal Register