Tag: broker-dealer

sec ESG Disclosure accounting COVID-19 cryptocurrency CLIMATE CHANGE Coronavirus Enforcement China cybersecurity PCAOB pandemic IPO executive compensation TRUMP Gary Gensler Regulation COMPLIANCE AI FASB SPAC Crypto ELON MUSK AMAZON bitcoin Diversity RISK FACTORS Corporate Governance DOJ Sustainability Audit Shareholder Proposals Antitrust Artificial intelligence Board of Directors JAY CLAYTON BLACKROCK securities FTC shareholders Human Capital PROXY Russia INVESTOR RELATIONS Environmental Insider trading CFTC Labor Tariffs Litigation Risk DEI Supply chain TESLA microsoft apple inflation Starbucks Supreme Court 10-K google SPACs M&A activist investors Allison Herren Lee Glass Lewis whistleblower 10b5-1 employment Biden Gensler Governance Department of Justice blockchain Greenwashing Trade Fraud competition corporate boards Uber PROXY SEASON SAY ON PAY Legislation board diversity PRIVATE EQUITY Executive Order 8-K McDonald’s Buybacks Metrics Hester Peirce dodd-frank banking RULE 14A-8 emissions rulemaking sanctions Coinbase disclosures Regulation S-K Ukraine Nasdaq GameStop Trade War Financial Reporting Data Breach delisting Financial Services Compensation JPMorgan Chase pay vs. performance Directors Mergers ransomware facebook Public Companies corporate crime GOLDMAN SACHS CorpFin Materiality Stock Imports shareholder proposal ETF auditing Restatements Citigroup Technology Sarbanes Oxley Wells Fargo CEO pay Twitter EU 10-Q California FCPA non-GAAP Merger gamification Bankruptcy Holding Foreign Companies Accountable Act acquisitions broker-dealer bank Netflix Environment President-elect Biden guidance ISS cyberattack equity Robinhood COMMENT LETTERS GAAP Disney institutional investors Meta Lease Accounting Exxon Mobil NYSE Election Larry Fink Shareholder DIVISION OF CORPORATION FINANCE geopolitics Banks Ethereum Shell Social FTX Internal Controls energy Clawback CARES Act beneficial ownership Activist Investor Report Unicorn Earnings CEOs CEO NFTs WeWork Chevron Congress direct listing Securities and Exchange Commission return to work Class Action OCIE Alphabet carbon emissions Chapter 11 Performance Metrics Acquisition Quarterly Earnings Guidance vaccine mandate venture capital Form 10-K EXXON Risk Factor digital assets Proxy Advisory Firms Annual Shareholder Meeting climate AUDIT COMMITTEE corporate data privacy Federal Reserve Affirmative Action Climate reporting Texas vaccine Monopoly clawbacks Auditors greenhouse gas Dodd-Frank Act Manufacturing Paycheck Protection Program Spotify Big Four CFIUS shareholder votes financial institutions 2021 ESG reporting Virtual Shareholder Meetings Royal Dutch Shell Jamie Dimon GENERAL ELECTRIC Biden administration Earnings Calls financial performance SolarWinds International trade GOP Johnson & Johnson Institutional Shareholder Services FDA Lyft Intelligize Procter & Gamble Tax Bill Ackman Item 103 MD&A SEC filings Walmart Carl Icahn de-SPAC EEOC JP Morgan boycott FINRA Special Purpose Acquisition Companies chatGPT DOGE FinCEN HFCAA Corp Fin Political Spending warrants corporate accountability Retail Delta Air Lines shareholder activism Papa John’s DraftKings climate disclosures Real Estate BP President Biden interest rates Stakeholders Earnings Guidance Chamber of Commerce Home Depot climate disclosure taxes infrastructure water Remote Work Environmental Regulation Walgreen’s Nikola environmental disclosures liability Standards Goodwill TikTok Iron Mountain human capital disclosure Engine No. 1 Smaller Reporting Companies REVENUE RECOGNITION Multi-Class Stock total shareholder return recession Nike white-collar crime Janet Yellen Bank of America KPI CEO compensation marijuana stock buybacks Palantir No Action Letter White-collar Great Resignation Reg FD John Coates Caroline Crenshaw PPP Israel data Investment Peloton Earnings Per Share COMMENT LETTER AT&T mandate exports Poison Pill Taiwan inside information nonpublic information meme stocks Auditor Independence direct listings Reform Emerging Growth Companies Audit Committees AFL-CIO racial diversity Security audit inspections MicroStrategy Risk Management Pfizer Shadow Regulators Slack uncertainty Social Media commodities Paul Munter Ron DeSantis proxy votes trends Oversight ESG disclosure Mondelez Cannabis Employees Airlines climate change disclosure Lease Modifications ASC 842 fair value Accountants stock exchange Rule 10b5-1 Lawsuit Zoom Treasury immigration Activision blank-check oil and gas digital tokens Ether back-to-work Employers CAMs workforce 10b5-1 plans revisions corporate speech Kraft Heinz order flow intangible assets Lordstown Motors public relations Corporate Disclosure Delta Airlines OMB Shake Shack Bank Secrecy Act inclusion Nvidia rules Under Armour money laundering critical audit matters Costco Material Adverse Effect automotive material information environmental reporting deterrence SEC CHAIR representation Corporate Debt Blank Check Companies AI washing Inflation Reduction Act National Security 2020 Buzzfeed LIBOR Investigation public company ESG disclosures Debt UPS Binance Human Capital Management Airbnb Schedule 13D Treasury Department Public Filings Offering Short Term virtual shareholder meeting Going Concern DISCLOSURE EFFECTIVENESS U.S. government Sportswashing NFT SEC compliance Middle East avian flu GRI interlocking directorates MultiPlan diversity equity and inclusion Proxy Advisors Public Accounting Oversight Board green hushing ethics ESG shareholder proposals enforcement priorities 2021 sustainability-linked loans IPO shares materiality standard 3G Capital Partners mandatory vaccine LGBTQ+ boards of directors Quarterly JETBLUE AIRWAYS Forbes Los Angeles Lakers Ban NACD diverse employees Reg S-K test-the-waters Form 10-Q Jurisdiction X Conservative racism Roe v. Wade joint venture Section 8 income tax China Mobile underwriters UBS Africa vaccinations organized labor Accelerated Filers Mondelez International Hostile Takeover EGC PARIS AGREEMENT Alex Karp Checklist 2021 proxy season mining Share repurchase CRA Albertsons stock options Fastenal economic downturn specific performance clause chief metaverse officer board diversity rules Fair Access to Financial Services WageWorks infrastructure plan Director of Division of Enforcement Modernization First American Financial Corporation scarcity reporting requirements American Express SBTi Regulation S-X Rule 2-01 Management’s Discussion and Analysis IMAX Diana Shipping Inc. Suspended Substantial Doubt S&P Global Principles-Based Bloomberg Capture Settlement Saudi Arabia pharmaceutical Defaults Responsible AI New York Canada bribery political donations Lumber Liquidators internal control consultants chief financial officers scope 3 QC 1000 predictions Stephanie Avakian employer ESG rating service COCA-COLA short squeeze public comments racial minorities universal ballot CFO MGM Ford Potbelly Tontine executive pay climate risk AICPA proxy statement Off-channel communications Elizabeth Warren Spirit Airlines take-private securities law IRS Rooney Rule data security natural gas Enron Deloitte economic relevance reconciling China Telecom Bezos annual meeting Boehner Gary Genseler court backdating FOIA executives Affirm Merrill Lynch union ICFR Norwegian Cruise Lines Net Operating Loss Heritage NOLA Bancorp Sen. Mark Warner (D-VA) Lock-Up Agreements download principles-based disclosure Indonesia water conservation Boeing Open AI pension United Airlines Subway labor market elections internet buyback tax environmental metrics Office of the Comptroller of the Currency Allison Herron Lee special purpose acquisition company Heather Slavkin Corzo prescriptive rule tax revenue caterpillar CSR Lisa Monaco Accredited Investors SEC Guidance Las Vegas Sands Infected Warren Buffet Wells Notice Asana EEO-1 form D&O Insurance Press Release Reddit Tractor Supply DFS Mexico anti-corruption Toyota information asymmetries EPS cyber insurance quality control Steven Peikin Zoom-free Fridays grading corporate activism conflicts of interest U.S. Oil & Gas Association Culture wars spring-loaded compensation Regulation Best Interest Diageo Salary Cut MGM Resorts Steven Mnuchin Volatility Ocado UK accounting disclosure cyberbreach CCO dealmaking Michigan Secretary of State Discover Financial. Archer-Daniels-Midland Delaware resource extraction Republican settlements seizures dilute multinational companies conflict minerals financial regulation As You Sow Lobbying tax credits China Unicom CEO departing fast food Brett Redfearn payment for order flow charity Oatly Housing Afterpay wrongdoing Norges Bank First Amendment Stock-drop litigation Shareholder Rights Plan Billy Beane Earnings Management Earnings Call Transcripts Cheesecake Factory Bed Bath & Beyond private funds noncompete agreements Aerospace Nonprofit legal fees FedEx CREW prices major questions doctrine shareholder democracy metaverse liquidations ESG metrics Investigations fair disclosure Paul Weiss 420 JBS Momentus taxation Capital formation Biometric Information Privacy Act Subsequent Events Delay Mnuchin Corporate Bonds Racial Inequality Back to School New York Stock Exchange gender diversity Golden-Leash Agreements Australia SAFER Annual reports Deere & Co. HSR budget ICE derivative criminal conduct EPAM Systems securities fraud public equity forecasting data breaches 25th Amendment Delta White House Goodwill impairment benefits Greg Abbott conglomerates #MeToo Abercrombie & Fitch Micron Venable Accolade WeChat Vanguard nonrecurring costs median employee framework rule CISO oil CrowdStrike Corporate security SB21 Scope 3 emissions CDP Reg SCI Sarbanes-Oxley Act Ordinary Business 2022 biggest stories Chinese telecoms Frazier no-action letters Intelligize Report donations Robbins Geller planned stock sales futures Investor Advisory Committee Bailout Blonder Tongues Laboratories Xynomic RedBall Earnings Season investor presentations enforcement action Bank Failure GAO Shein Regulation FD shareholder litigation democracy Big Oil employee health quarterly results West Virginia v. EPA universal proxy cards virtual reality Form N-PX Policy Director manipulation recover Stable Road woke-washing HFCCA John Deere Investor Advocate Clearview AI Tapestry Dell Technologies Exchange-Traded Funds Shadow Regulator Child Care CVS NYC comptroller Indemnification Financial Reporting Council OECD Healthcare Measurement Ernst & Young deficit public policy accounting analytics Vale global instability incentive-based compensation Senate Finance Committee JP Morgan Chase Salesforce Florida regulatory agenda ALIBABA Illinois tuition gun ban corporate breakups American Outdoor Brands Guess Proctor & Gamble Advent International Female Director Mail Airfox one-time expenses pay ratio dual-class Form 8-K gas IT Executive security Court of Chancery accounting firms forced labor WorldCom social issues backlash Executive Order 13959 Iger retailers revolving door numbers stock trading apps net zero Short-Seller Senate Committee on Banking BNPL Conference Board Proxy Adviser Equity Stakes Debt Agreements Campbells Hong Kong Stock Exchange fastest rising Peter Thiel EPS Initiative machine learning Sequential Brands. goodwill impairment FDIC Politics regulatory material Theranos deregulation Edelman ESG+H Citizens United mutual funds lease accounting rule changes SEC enforcement action Mudrick Capital Principles for Responsible Investment moving market response Coinschedule Elad Roisman ESG survey VIE Kellogg’s Rick Fleming Bitcoiin2Gen Foot Locker PR Deferred Tax Assets Childcare HCA Healthcare public Robyn Denholm Hamas Alabama ARR Deere Commerce personal security Privacy environmental enforcement Arrowhead Pharmaceuticals share repurchases intellectual property capital revenue guidance reissuances Axe scoring Georgia recommendations Didi Global J.J. Heinz Co. commission-free stock trading GE Best Buy Bank of New York Mellon ASC 840 Forescout Technologies GoHealth Postage Blockchain of Things Revenue Regulation S-K Item 402(u) Pinterest guidelines lawyer Women electricity Fortune 500 friend-shoring executive bonus carbon credits leadership change S1 stock trading platforms board members Insider giving Spruce Point Capital Management buy now pay later Auditing Standard 3101 GENERAL MOTORS Loans employee Virtual Annual Meeting most popular BMW DoorDash international Fiduciary duty Currency Entrepreneur task force N-PORT officers Just Capital fossil fuel public health options contracts net-zero emissions disgorgement AMC TherapeuticsMD corporate treasury pump and dump female Intelligize survey Wall Street Journal General Data Protection Regulation NYSE Arca Inc. Inc. Ruth’s Chris Loan Facility Net Operating Losses Payroll tax deferral Reporting presidential large accelerated filers ISSB Terrorism CTA Southwest Airlines sovereign wealth fund custody Philip Morris International Health supply-chain financing Exchange NASDQ racial equity audit SLLs Republicans reversing Deutsche Bank foreign listings Kraft Foods Group Inc. no-fee stock trading Corporate Sustainability Reporting Directive IBM Fraternization Policy Hewlett Packard Enterprises Lemonade Postal Service Fintech Andeavor prescriptive tech copyright C-Suite Silicon Valley Northrop Grumman Nevada unanimous Uyghur Forced Labor Prevention Act reforestation highlights Merck sick leave $2 trillion S&P 500 trading overhaul wastewater Embedded finance Spencer Stuart Clayton Amortization Golden Parachute protection shareholder vote tariff HP Company Insights Market Manipulation Capital Markets Innovation Start-up Form PF Securities Exchange Act of 1934 wellness Shopify woke capitalism sustainable investing company culture virtual annual shareholder meetings American Brivision Corp. Topps tweets ESG Disclosure and Simplification Act WisdomTree LBGTQ+ Bassett Furniture strikes Goldenseed European Securities and Markets Authority Steven Seagal Questions SBA Main Street Lending Program NOL relief State Street Stock Market material weakness Asia SCOTUS NSBA Startups Aviation government surveillance Todd Kim Clorox Corp. cryptomining compliance enforcement Sam Bankman-Fried Republican senators XPO Logistics voting laws revisiting hybrid going public in U.S. CSRD Toshiba HPE Right of Use Duke Realty Transaction Pandion Therapeutics USPS Gladius management authorization principles Financial statements AML S&P Cash sweeps Warner Bros. subprime mortgage Imperial Oil BlockFi franchises Chipotle Delaware Chancery trade policy anti-money laundering tensions succession plans Berkshire Hathaway 21% statistics Q1 2021 purge stock gifts $28 billion Frances Haugen FASB ASC Topic 606 Russell Golden Altria Revise temperature check phaseout Stock Offering Key Performance Indicators competitors disclose communications Casino AI survey marketing Funding policy Chevron doctrine Gaming insurrection stock splits carbon offsets audit inspection fair-value accounting CIVIL PENALTIES National Defense Authorization Act extreme market volatility Zhihu Inc. Bridgestone racial minority BioNTech McCormick & Company unions Regulation A+ Wilshire Phoenix TJX Companies Small and Midsize Businesses Tax Relief Human Resources Sen. Chuck Schumer transparent vote SOX IFRS Federal government Skechers Investors Hedge fund law firms abortion corporate profits cooperation Clayton Act criminal fraud National Association of Manufacturers Investment Banks Adam Neumann Forward-Looking Statements voting restrictions JPMorgan JD.com Sequential Brands stock trading Harley-Davidson Lam Research Estee Lauder Dividends ASC 606 Business Roundtable ICO Marathon rules-based Qualcomm equities Shadow trading CPA Macys Project 2025 private placement impairment Conagra capital gains lawyers Foreign Investment CFOs Boxed 28% study shareholder meetings scandal Barclays DeFi Pershing Square Tontine Holdings Ltd. Sophie Zhang FASB ASC Topic 842 Baxter International Inc. Xcel Brands Inc. thermal temperature Credit Agreement Bausch Health Workforce Development Known Trends LexisNexis FireEye corporate misconduct AI compliance survey Federal agencies Investing citizenship sponsors Federal Reserve Board January 6 Erica Williams Valuation shelf registrations Evercore green loans intangible asset integrated reporting H.R. 1187 enabling shareholder graft Delta variant disabilities emergency temporary standard broker-dealers Beyond Meat Ulta Beauty Paid Leave Sen. Ron Wyden Workforce diversity Item 101 2024 budget shutdown investor Cyber export controls law firm NFL Howey test annual meetings Dobbs v. Jackson deferred prosecution collusion opposing insurrection IPOs environmental disclosure Juul indexing Citadel 2050 mandatory vaccination variable interest entities 10b5-1 trading plans exemptions Green New Deal Lucid Group Smith & Wesson Names Rule Prologis CPG Newco Ceres HARVARD LAW Unikrn California law Class Actions Division of Examinations portfolio Noncompete Boards Archer-Daniels Midland Senate deficiencies Reg D Norges Bank Investment globalization consumers investment funds reverse breakup fee corporate share repurchases ownership U.S. American Jobs Plan Alex Oh voting against management William Duhnke drought DeFi Money Market Robert Jackson Square activism BT Group PLC scrutiny worker Debt Covenant Amendments Management Discussion and Analysis news Nature Risk UAW Consulting EV H1-B visa ASU 2023-09 financial risk Larry Culp five-year plan corporate sustainability Gurbir Grewal Bitcoin ETF Division of Enforcement ADA revolving credit facility IPO Access House of Representatives $15.4 billion Disability OSHA Elder Investment Advice Cooley Pershing Square Working Parents Black employees Item 105 UFLPA European Union Forum shopping Consumer protection Malware proposal Self-reporting privilege black market investment contract 13D reproductive rights malfeasance interlocking directors foreign tax political issues Roblox tender offer Congressional testimony activist hedge fund Synchrony Financial VIEs and Urban Affairs testing admissions NLRB Extension Levi Strauss Crossfirst Bankshares DOW Short-Termism Stakeholder Engagement auto-generated coverage requirement Silicon Valley Bank risk alert Fifth Circuit Medical Kroger Lovesac Rick disclosure consolidation pay for performance nationalization excise tax supply chains Brian Brooks SOX 304 Charlie Munger corporate tax rate appointments Allison Lee Colonial Pipeline infrastructure bill Trevor Milton traditional banking fossil fuels Regulation G Outbreak