Laws and Regulations Terms

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  1. 10-K Wrap

  2. 19c3 Stock

  3. 3C1

  4. 3C7

  5. 500 Investor Rule

  6. Accounting and Auditing Organization for Islamic Financial Institutions - AAOIFI

  7. Accounting Series Releases - ASRs

  8. Adequate Notice

  9. Adjustment Bureau

  10. Administrative Law

  11. Administrative Order On Consent (AOC)

  12. Administrator

  13. Adverse Domination

  14. ADV Form

  15. Adware

  16. Affidavit Of Loss

  17. Affirmative Action

  18. Affirmative Obligation

  19. Affordable Market Value (AMV)

  20. Age Discrimination In Employment Act Of 1967

  21. Agency By Necessity

  22. Alberta Securities Commission - ASC

  23. Alimony Payment

  24. All-Holders Rule

  25. Alternative Investment Fund Managers Directive (AIFMD)

  26. Alternative Trading System - ATS

  27. Amendment

  28. American Clean Energy And Security Act Of 2009

  29. American Jobs Creation Act Of 2004

  30. American Rule

  31. Americans With Disabilities Act - ADA

  32. Anti-Boycott Regulations

  33. Anti-Reciprocal Rule

  34. Appraised Equity Capital

  35. Appurtenance

  36. Article 50

  37. Article 9

  38. ASC X12

  39. ASC X9

  40. Asset Liquidation Agreement (ALA)

  41. Assignor

  42. Attachment

  43. Attestation

  44. Attorney's Fee Awards

  45. Attorney's Letter

  46. Attorney In Fact

  47. Attribution Rules

  48. Audit Trail

  49. Authorized Investment

  50. Backing Away

  51. Baked In The Cake

  52. Banking And Securities Industry Committee - BASIC

  53. Banking Department

  54. Bank Restriction Act of 1797

  55. Bank Secrecy Act - BSA

  56. Basel Accord

  57. Basel I

  58. Basel II

  59. Best-Interest Contract Exemption (BICE)

  60. Best-Price Rule - Rule 14D-10

  61. Best Bid

  62. Best Practices

  63. Bilateral Credit Limit

  64. Blue Sheets

  65. Boilerplate

  66. Bona Vacantia

  67. Border Adjustment Tax

  68. British Columbia Securities Commission

  69. Broad Evidence Rule

  70. Brochure Rule

  71. Building Permits

  72. Bundle Of Rights

  73. Business Ethics

  74. Canadian Capital Markets Association - CCMA

  75. Canadian Council Of Insurance Regulators - CCIR 

  76. Canadian Securities Administrators - CSA

  77. Capital Market Line - CML

  78. Cash Flow Statement

  79. Central Registration Depository (CRD)

  80. Chapter 9

  81. Check Clearing For The 21st Century Act - Check 21

  82. Child Support

  83. China Securities Regulatory Commission - CSRC

  84. Civil Damages

  85. Civil Money Penalty - CMP

  86. Civil Rights Act of 1964

  87. Clearing House Electronic Subregister System - CHESS

  88. Closed-Market Transaction

  89. Close Period

  90. Cloud On Title

  91. Commercial Code

  92. Commissioner Of Banking

  93. Committee On Payment And Settlement Systems - CPSS

  94. Community Property

  95. Community Reinvestment Act - CRA

  96. Compliance Department

  97. Compliance Examination

  98. Compliance Program

  99. Conditionality

  100. Confession Of Judgment

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