Browse Related Topics For:

Disclosure Requirements Securities & Exchange Commission

343
Dodd-Frank
239
Executive Compensation
210
Regulation S-K
164
Pay Ratio
152
Publicly-Traded Companies
118
Compliance
113
Conflict Mineral Rules
113
Reporting Requirements
103
Corporate Governance
89
Enforcement Actions
86
JOBS Act
86
Securities Exchange Act
84
CEOs
80
Investment Adviser
80
Proposed Regulation
72
Proxy Statements
70
Emerging Growth Companies
67
Resource Extraction
66
Investors
63
FINRA
58
Board of Directors
57
Form 10-K
52
Fixing America’s Surface Transportation Act (FAST Act)
52
Shareholders
51
Financial Institutions
51
First Amendment
50
Cybersecurity
50
Popular
49
Comment Period
48
Broker-Dealer
47
Clawbacks
47
Financial Statements
47
Municipal Bonds
46
Crowdfunding
42
Final Rules
42
Proposed Amendments
42
Securities Act of 1933
39
Form SD
39
Pay-for-Performance
39
Proxy Season
39
Transparency
38
GAAP
38
Oil & Gas
37
CFTC
36
Conflicts of Interest
36
EU
36
Sarbanes-Oxley
34
Fiduciary Duty
34
Median Employee
34
Nasdaq
33
Filing Requirements
33
Municipal Securities Issuers
33
PCAOB
32
C&DIs
32
EDGAR
32
Incentive Compensation
32
Investment Advisers Act of 1940
32
MCDC
32
Say-on-Pay
31
Municipalities
31
Mutual Funds
31
Total Shareholder Return (TSR)
30
Corporate Counsel
30
Due Diligence
30
Financial Markets
30
Risk Management
29
Recordkeeping Requirements
29
Securities
29
Underwriting
28
Foreign Private Issuers
28
New Guidance
28
Regulation D
27
Directors
27
Form ADV
27
MSRB
26
Accredited Investors
26
Audits
25
Audit Committee
25
Investment Companies
24
Corporate Officers
24
IPO
24
ISS
24
Regulation S-X
24
Social Media
24
XBRL Filing Requirements
23
Derivatives
23
Investment Company Act of 1940
23
Public Comment
23
Registration Statement
22
Financial Reporting
22
Investment Management
22
Rule 506 Offerings
22
Trump Administration
21
Annual Reports
21
FCPA
21
Form 8-K
21
Political Contributions
21
Whistleblowers
20
Enforcement
20
Hedging
20
NYSE
19
Exemptions
19
Initial Public Offerings
19
Liquidity Risk Management Rule
19
Public Offerings
19
Settlement
18
Auditors
18
Compensation Committee
18
DOJ
18
ETFs
18
FASB
18
Golden Leash Arrangements
18
Internal Controls
18
Investment Funds
18
Money Market Funds
18
Sanctions
18
Securities Fraud
18
Statistical Sampling
17
EMMA
17
Regulation A
17
Shareholder Proposals
16
Data Breach
16
General Solicitation
16
IFRS
16
Mary Jo White
16
New Regulations
16
Securities Violations
16
Self-Reporting
16
Startups
16
Stocks
16
UK
15
Advertising
15
Appeals
15
Capital Formation
15
Capital Raising
15
Data Protection
15
Funding Portal
15
Investment
15
Rating Agencies
15
Rulemaking Process
14
Administrative Procedure Act
14
Banks
14
CFPB
14
Data Privacy
14
DOL
14
Federal Reserve
14
Fraud
14
Insider Trading
14
Minerals
14
Municipal Securities Market
14
OCIE
14
Offerings
14
Wages
13
Banking Sector
13
Capital Markets
13
Class Action
13
Corp Fin
13
Cyber Attacks
13
Fees
13
Independent Contractors
13
Mining
13
Natural Resources
13
Private Equity
13
Private Equity Funds
13
Proxy Voting Guidelines
13
Regulation FD
13
Supply Chain
12
Amended Regulation
12
ERISA
12
FDIC
12
Financial Services Industry
12
Hackers
12
Investor Protection
12
Listing Standards
12
NAM
12
NAV
12
Non-GAAP Financial Measures
12
Private Placements
12
Registration Requirement
12
Small Business
12
Stress Tests
11
Accounting Standards
11
Asset-Backed Securities
11
Climate Change
11
Corporate Issuers
11
Foreign Workers
11
Form N-PORT
11
Iran Threat Reduction and Syria Human Rights Act
11
OCC
11
Pending Legislation
11
Revenue Recognition Standard
11
Risk Assessment
11
SCOTUS
11
Smaller Reporting Companies
10
Bad Actors
10
Bonds
10
Canada
10
Congressional Review Act
10
Disclosure
10
Diversity
10
FHFA
10
Item 402
10
Mortgages
10
Municipal Advisers
10
Policies and Procedures
10
Public Disclosure
10
Registered Investment Advisors
10
Rule 10b-5
9
Amnesty International
9
Chief Compliance Officers
9
Civil Monetary Penalty
9
Corporate Social Responsibility
9
CPO
9
Data Security
9
Debt Securities
9
Employees
9
European Securities and Markets Authority (ESMA)
9
Extractive Industry Transparency Rule
9
Form N-Cen
9
FSOC
9
Glass Lewis
9
Hyperlink
9
Liquidity Fees
9
Manufacturers
9
Materiality
9
Mergers
9
No-Action Letters
9
Regulation AB
9
Rule 15c2-12
9
Schedule 13D
9
Securities Act
9
Swing Pricing
9
Threshold Requirements
9
Whistleblower Protection Policies
8
American Petroleum Institute
8
Annual Filings
8
Annual Meeting
8
Cease and Desist
8
Cease and Desist Orders
8
Country of Origin
8
De Minimus Quantity Exemption
8
Director Compensation
8
Disgorgement
8
EBITDA
8
En Banc Review
8
Energy Sector
8
Equity Securities
8
European Commission
8
Golden Parachutes
8
Hedge Funds
8
Mineral Extraction
8
Misleading Statements
8
National Association of Manufacturers
8
Penalties
8
Proposed Legislation
8
Redemption Gates
8
Retirement Plan
8
Robo-Advisors
8
Securities Litigation
8
Swaps
8
UK Brexit
8
Websites
7
Blue Sky Laws
7
CD&A
7
China
7
Cost-of-Living
7
Exchange-Traded Products
7
Executive Orders
7
Facebook
7
Failure To Disclose
7
Federal Register
7
Financial Regulatory Reform
7
Government Investigations
7
Guidance Update
7
Institutional Investors
7
IRS
7
Liquidity
7
NRSRO
7
Omissions
7
Oxfam America
7
Pay-To-Play
7
Pharmaceutical Industry
7
Private Offerings
7
Registration
7
RMBS
7
Rule 10D-1
7
Rule 144A
7
Rule 147
7
Securities Exchanges
7
Shareholder Activism
7
Strategic Enforcement Plan
7
Sustainability
7
Umbrella Registration
7
Young Lawyers
6
Acquisitions
6
Administrative Proceedings
6
American Meat Institute
6
Asset Management
6
Books & Records
6
Breach of Duty
6
CDIs
6
Compensation Agreements
6
Cross-Border Transactions
6
False Claims Act (FCA)
6
False Statements
6
Fiduciary Rule
6
FinCEN
6
Form 10-Q
6
Form D Filing
6
FTC
6
Fund Managers
6
GAO
6
Investigations
6
Investment Portfolios
6
Look-Back Measurement Period
6
Material Misstatements
6
Material Nonpublic Information
6
NAM v SEC
6
Netflix
6
Preemption
6
Prospectus
6
Proxy Access Rule
6
Proxy Advisors
6
Regulatory Agenda
6
Regulatory Oversight
6
Regulatory Standards
6
Rule 506(c)
6
Structured Financial Products
6
Subsidiaries
6
Tandy Letter
5
Anti-Retaliation Provisions
5
Beneficial Owner
5
Brokers
5
Chamber of Commerce
5
Consumer Financial Products
5
CTA
5
Data Collection
5
Deadlines
5
Debt
5
EMIR
5
Employee Benefits
5
Financial Conduct Authority (FCA)
5
Floating NAV
5
Going-Private Transactions
5
Hong Kong
5
Human Rights
5
ICFR
5
Information Sharing
5
Investment Banks
5
Material Disclosures
5
MD&A Statements
5
Mineral Exploration
5
Misrepresentation
5
Natural Gas
5
Neither Admit Nor Deny Settlements
5
NFA
5
OTC
5
Pensions
5
Privacy Laws
5
Private Funds
5
Privately Held Corporations
5
Proxy Access
5
RAUM
5
Referendums
5
Rule 22e-4
5
Rule 506
5
Section 10D
5
Section 1504
5
Section 16
5
Section 162(m)
5
Stock Exchange
5
Tier 2 Offerings
5
Title III
5
Twitter
5
Volcker Rule
4
Affiliates
4
AIFMD
4
Algorithmic Trading
4
Allergan Inc
4
Anti-Corruption
4
Asset Diversification
4
Attorney Generals
4
Best Interest Contract Exemptions
4
Bitcoin
4
Borrowers
4
Breach Notification Rule
4
BrokerCheck
4
Bylaws
4
Confidentiality Agreements
4
Controlling Stockholders
4
Corporate Financing
4
Corruption
4
Cyber Insurance
4
Cyber Threats
4
Dark Pool
4
DBRS
4
Debtors
4
Democratic Republic of Congo
4
Deregulation
4
Director Nominations
4
Dismissals
4
Disqualification
4
EB-5
4
Employer Liability Issues
4
Equity Compensation
4
Excessive Fees
4
Financial CHOICE Act
4
Financial Crisis
4
Fitch
4
Fixed Income Investments
4
Foreign Corporations
4
Form N-SAR
4
Free Speech
4
Hiring & Firing
4
Indemnification
4
Insurance Industry
4
Interim Rule
4
Intermediaries
4
Internal Revenue Code (IRC)
4
IPSA
4
Iran Sanctions
4
Issuer Eligibility Criteria
4
Margin Requirements
4
Morgan Stanley
4
Multinationals
4
NCUA
4
Offering Statements
4
Part-Time Employees
4
Petition For Rehearing
4
Privacy Policy
4
Registered Investment Companies (RICs)
4
Regulation C
4
Repeal
4
RTS
4
Safe Harbors
4
SASB
4
Scienter
4
Seasonal Workers
4
SEC Advisory Committee
4
Secondary Markets
4
Separately Managed Accounts (SMA)
4
Shareholder Litigation
4
SMAs
4
Social Media Policy
4
State and Local Government
4
Statute of Limitations
4
Subpoenas
4
Summary Judgment
4
Sunshine Act
4
Swap Dealers
4
Tax-Exempt Bonds
4
Temporary Employees
4
Trade Secrets
4
Trading Platforms
4
Transaction Reporting
4
UCITS
4
Unregistered Securities
4
Virtual Currency
4
Whistleblower Awards
3
Anti-Bribery
3
Anti-Money Laundering
3
Bank of America
3
Best Practices
3
BlackRock
3
Broken Windows
3
Business Continuity Plans
3
Business Judgment Rule
3
C-Suite Executives
3
CACM
3
Campaign Contributions
3
Citigroup
3
Compelled Speech
3
Compensation & Benefits
3
Compensation Consultant
3
Confidential Information
3
Congressional Investigations & Hearings
3
Corporate Executives
3
CRIRSCO
3
Cross-Border
3
Cyber Crimes
3
Default
3
Department of Energy (DOE)
3
Derivative Suit
3
Division of Investment Management
3
Duty of Care
3
EBA
3
EEOC
3
Electronic Communications
3
Electronic Filing
3
Exxon Mobil
3
Fannie Mae
3
FATCA
3
FDA
3
Fee Disclosure
3
Fee-Shifting
3
Filing Deadlines
3
Final Guidance
3
Financial Accounting Standards Board
3
Finders
3
Fines
3
Foreign Banks
3
Foreign Exchanges
3
Foreign Issuers
3
Foreign Jurisdictions
3
Full-Time Employees
3
Fund Expenses
3
Goldman Sachs
3
Harmonization Rules
3
Healthcare
3
Hostile Takeover
3
Human Trafficking
3
Identity Theft
3
Incentive Stock Options
3
Internal Investigations
3
Item 402(b)
3
JPMorgan Chase
3
Limited Liability Company (LLC)
3
Loss Contingencies
3
Market Manipulation
3
Marketing
3
Microsoft
3
MiFID II
3
Misappropriation
3
Moody's
3
NASD
3
National Futures Association
3
Negligence
3
New Legislation
3
NIST
3
OFAC
3
Offering Documents
3
Offering Fraud
3
Open-Ended Fund Companies (OFCs)
3
Product Labels
3
Proposed Rules
3
Proxy Contests
3
Public Employees
3
Public Finance
3
Puerto Rico
3
Qualified Institutional Buyers
3
Reasonable Care
3
Registered Funds
3
Regulation S
3
Regulation S-P
3
Repurchases
3
Required Forms
3
Retirement
3
Risk Alert
3
Risk Mitigation
3
Rule 21F
3
Rule G-42
3
Securities Regulation
3
Securitization
3
Security-Based Swaps
3
Share Classes
3
Share Redemption
3
Shareholder Meetings
3
Shareholder Rights
3
Shareholder Votes
3
SIFIs
3
Stock Options
3
Structured Finance
3
Student Loans
3
Surveys
3
Sustainable Business Practices
3
Tender Offers
3
Transacting Intrastate Business
3
U.S. Commerce Department
3
Universal Proxy Cards
3
Valuation
3
Voluntary Disclosure
3
Wells Notice
3
Zauderer
2
10b5-1 Plans
2
529 Plans
2
ABS
2
Accounting Controls
2
Activist Hedge Funds
2
Activist Investors
2
Advanced Notice of Proposed Rulemaking (ANPRM)
2
Advisory Committee
2
Affordable Care Act
2
Africa
2
Algorithms
2
ALJ
2
Alternative Mutual Funds
2
Alternative Trading Systems
2
American Bar Association (ABA)
2
Arbitration
2
Asset Valuations
2
Audit Policies
2
Australia
2
Automotive Industry
2
Bank Fraud
2
Bank Holding Company
2
Bank Loan Markets
2
Bank of England
2
Bank Secrecy Act
2
Big Data
2
Breach of Contract
2
Bribery
2
BSA/AML
2
Business Development
2
CalPERS
2
Campaign Spending Limits
2
CCPs
2
CD&I
2
CFOs
2
Charter Schools
2
Chevron Deference
2
Citizens United
2
Class Certification
2
Clean Power Plan
2
Cloud Computing
2
CME
2
Coal Industry
2
COLA
2
Commercial Speech
2
Commodities Exchange Act
2
Commodity Pool
2
Consumer Lenders
2
Controlled Foreign Corporations
2
Corporate Contributions
2
Corporate Fraud
2
Corporate Sales Transactions
2
COSO
2
Covenant of Good Faith and Fair Dealing
2
Credit Rating Agencies
2
Credit Ratings
2
Criminal Background Checks
2
Custodians
2
Custody Rule
2
Debt Financing
2
Delaware General Corporation Law
2
Delisting
2
Department of Agriculture
2
Derivatives Clearing Organizations
2
Deutsche Bank
2
Discrimination
2
Distribution Rules
2
Division of Corporate Finance
2
DSIO
2
Early Stage Companies
2
Earnings Reports
2
ECPA
2
EGCs
2
Elder Issues
2
Election Related Expenditures
2
Elizabeth Warren
2
Energy & Climate Debates
2
Entire Fairness Standard
2
EPA
2
Equity Plans
2
Equity Research Rule
2
Examination Priorities
2
Expedited Actions Process
2
Exploitation
2
Exports
2
Extraction Payment Disclosure Rule
2
Facilitation Payments
2
Failure to Notify
2
False Advertising
2
FBI
2
FCC
2
FCMs
2
Federal Acquisition Regulations (FAR)
2
Federal Contractors
2
Federal Election Commission (FEC)
2
FFIEC
2
Financial Obligations
2
Financing
2
FOIA
2
Forced Labor
2
Foreclosure
2
Foreign Investment
2
Foreign Nationals
2
Foreign Official
2
Foreign Policy
2
Form S-8
2
Fortune 500
2
Forward Contracts
2
Fraud-on-the-Market
2
Freddie Mac
2
FSB
2
Funding
2
Gender Equity
2
General Data Protection Regulation (GDPR)
2
General Motors
2
Generic
2
Gramm-Leach-Blilely Act
2
HMDA
2
Incentive Based Contracts
2
Incident Response Plans
2
Independence Rules
2
Internal Audit Functions
2
Internal Reporting
2
Internet
2
Interpretive Opinions
2
Investor Advisory Committee
2
Janus Capital Group
2
Japan
2
Jurisdiction
2
KBR (formerly Kellogg Brown & Root)
2
Legacy Funds
2
Legislative Committees
2
Lehman Brothers
2
Lenders
2
Lending
2
Limited Partnerships
2
LinkedIn
2
Listing Rules
2
Lobbying
2
Loss Causation
2
M&A Brokers
2
Market Conditions
2
Market Participants
2
Member State
2
Merrill Lynch
2
MiFID
2
Money Laundering
2
Mortgage Lenders
2
Municipal Bankruptcy
2
NDAA
2
Negotiations
2
New Amendments
2
Nominee Directors
2
Non-US Entities
2
NPRM
2
OECD
2
OMB
2
Online Marketplace Lending
2
Paris Agreement
2
Partnerships
2
Passporting
2
Pay Equity Laws
2
Payroll Records
2
Peabody Energy
2
Personally Identifiable Information
2
Pleading Standards
2
Policy Violations
2
Political Campaigns
2
Presidential Elections
2
Pricing
2
Privacy Concerns
2
Private Company Shares
2
Private Equity Firms
2
Private Right of Action
2
Proxy Solicitations
2
PSD2
2
Public Policy
2
Public Schools
2
Putative Class Actions
2
Qualified Purchaser
2
Qui Tam
2
Ransomware
2
Real Estate Market
2
Rebuttable Presumptions
2
Recess Appointments
2
Red Flags Rule
2
Regulation G
2
Regulation SHO
2
Regulatory Reform
2
Remand
2
Remuneration
2
Resale Exemption
2
Retail Investors
2
RICs
2
Right to Privacy
2
Risk Factors
2
Risk Retention
2
Royalties
2
Rule 2210
2
Rule G-37
2
S&P
2
Sales Load Variations
2
Schedule 14D-9
2
SEC Comment Letter Process
2
SEC Commissioner
2
SEC Examination Priorities
2
Section 10(b)
2
Section 11
2
Section 14(j)
2
Section 404
2
Securitization Vehicles
2
Serious Fraud Office
2
Settlement Agreements
2
Shareholder Approval
2
Short Selling
2
SIFMA
2
Small Entity Compliance Guide
2
SnapChat
2
Social Media Account Ownership
2
Social Networks
2
Standards & Procedures
2
Standing
2
Statement of Facts
2
Stock Appreciation Rights
2
Stock Float
2
Successor Liability
2
Suppliers
2
Target
2
Tax Reform
2
Tax Returns
2
Third-Party Service Provider
2
Tower Amendment
2
TRACE
2
Training
2
Transparency Directive
2
Transparency in Supply Chains Act
2
U.S. Treasury
2
Uber
2
USCIS
2
Valeant
2
Vesting
2
Voting Rights
2
Wall Street
2
Warrants
2
Wash Trades
2
Whole Foods
2
Wrongful Termination
1
12b-1 plan
1
Accounting
1
Accounting Fraud
1
Accrual Requirements
1
Acquisition Agreements
1
Actual or Constructive Knowledge
1
Administrative Appointments
1
Administrative Hearings
1
Administrative Interpretation
1
Adobe
1
Advisors Act
1
Advisory Contracts
1
Affirmative Defenses
1
Aggregation Rules
1
AICPA
1
Aiding and Abetting
1
AIG
1
Alien Tort Statute
1
Allstate
1
Alternative Investment Funds
1
Amended Rules
1
American Health Care Act (AHCA)
1
Amicus Briefs
1
AML/CFT
1
Amortization
1
Angel Investors
1
Annual Statements
1
Anthem Blue Cross
1
Anti-Fraud Provisions
1
Anti-Kickback Statute
1
Apple
1
Appraisal
1
Appraisal Rights
1
Arbitrage
1
Asset Class
1
Assignments
1
Audited Financial Statements
1
Auto Body Shop
1
Auto Lease
1
Automobile Recall
1
Automotive Loans
1
AXA Equitable Life
1
Background Checks
1
Bailout
1
Ballots
1
Ban the Box
1
Bank Accounts
1
Bank of New York (BNY) Mellon
1
Banking Regulators
1
Barclays
1
Barnes and Noble
1
Basel Committee
1
Basel III
1
BATS Exchange
1
BE-180
1
BEA
1
Benchmarks
1
Benefit Corporations
1
Benefit Plan Sponsors
1
Big-Boy Letters
1
Binary Options
1
Board of Trustees
1
Bond Financing
1
Bond Issuers
1
Bond Markets
1
British Bankers' Association
1
Bureau of Economic Analysis
1
Business Assets
1
Business Conduct Standards
1
Business Development Companies
1
Business Model
1
Business Valuations
1
CalSTRS
1
Campaign Finance Reform
1
Canadian Securities Administration
1
Cancellation Rights
1
Capital Contributions
1
Capital Requirements
1
Capital Requirements Regulation (CRR)
1
CARDS
1
Carve Out Provisions
1
CBOE
1
CCAR
1
CCO
1
Cell Towers
1
Census
1
Charles Schwab
1
Check the Box Rules
1
Chipotle Grill
1
CID
1
Class Action Arbitration Waivers
1
CMBS
1
CMOs
1
CNIL
1
Co-Investment Rights
1
Coal
1
Coal Mines
1
COBRA
1
Collateralized Debt Obligations
1
Collateralized Loan Obligations
1
Colleges
1
Commercial Bankruptcy
1
Commercial Development
1
Commercial Marketing
1
Committee Meetings
1
Commodities
1
Commodity Interest
1
Common Stock
1
Commonwealth of Puerto Rico v Franklin California Tax-Free Trust
1
Compensatory Damages
1
Compliance Dates
1
Comptroller
1
Computer Fraud and Abuse Act (CFAA)
1
Conditional Job Offers
1
Confidential Business Information (CBI)
1
Confidential Communications
1
Confidentiality Policies
1
Congressional Committees
1
Consent
1
Conspiracies
1
Constitutional Challenges
1
Consultation
1
Consumer Bankruptcy
1
Consumer Complaint System
1
Consumer Financial Contracts
1
Consumer Protection Act
1
Consumer Reports
1
Cooperation
1
Cooperation Agreement
1
Cooperation Initiative
1
Cooperative Compliance Regime
1
Corporate Bonds
1
Corporate Financing Rule
1
Corporate Fines
1
Corporate Misconduct
1
Corporate Taxes
1
Corporate Veil
1
Corrective Actions
1
Cost Recovery
1
Costco
1
Counterparties
1
Counterparty Risk
1
Countervailing Duties
1
Covered Bonds
1
Covered Entities
1
CPOs
1
CRA
1
Credit Card Agreements
1
Credit Cards
1
Credit Default Swaps
1
Credit Reporting Agencies
1
Credit Reports
1
Criminal Code
1
Criminal Prosecution
1
Crisis Management
1
Critical Infrastructure Sectors
1
Cryptocurrency
1
CT Supreme Court
1
Cuba
1
Currency Fluctuation
1
Currency Transaction Reports (CTR)
1
Customer Due Diligence (CDD)
1
Customer Information
1
Customer Service Standard
1
Cyber Incident Reporting
1
Cybersecurity Framework
1
Damages
1
Data Loss Prevention
1
David Cameron
1
DE Supreme Court
1
De-Risking
1
Debit Cards
1
Debt Collection
1
Debt Collectors
1
Debt Enforcement & Recovery Act (DERA)
1
Debt-Equity
1
Deceptively Misdescriptive
1
Defend Trade Secrets Act (DTSA)
1
Deferred Prosecution Agreements
1
Defined Benefit Plans