Securities Law

Disgorgement

Scienter

Jarkesy v. SEC: Supreme Court Limits In-House Penalties

Foreign Investment: Regulations, compliance, CFIUS review

Investment Fund Regulation: Formation, compliance, reporting requirements

Pension Fund Management: ERISA compliance, fiduciary duties, investment guidelines

Real Estate Investment Trusts (REITs): Formation, compliance, reporting requirements

Offshore Funds: Formation, compliance, tax considerations

Corporate Disclosures: Annual reports, sustainability reports, compliance

Financial Transparency: Disclosure requirements, compliance, best practices

Securities Exchange Act of 1934: Registration requirements, compliance, enforcement

Trade Reporting: Regulations, compliance, best practices

Position Limits: Regulations, compliance, risk management

Market Stability: Regulations, compliance, systemic risk

Investor Protection: Regulations, compliance, enforcement

Dark Pools: Regulations, compliance, trading transparency

Green Bonds: Issuance, compliance, sustainability reporting

Credit Rating Agencies: Regulations, compliance, conflicts of interest

Ethics and Compliance Programs: Implementation, training, monitoring

Corporate Governance Guidelines: Best practices, compliance, board responsibilities

Insider Trading Plans: Rule 10b5-1 plans, compliance, disclosure

Algorithmic Trading: Regulations, compliance, risk controls

Financial Services Regulation: Banking, insurance, securities, compliance

Investor Relations: Communication strategies, compliance, reporting