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-Price Rule - Rule 14D-10

  60. Best Bid

  61. Best Practices

  62. Bilateral Credit Limit

  63. Blue Sheets

  64. Boilerplate

  65. Bona Vacantia

  66. British Columbia Securities Commission

  67. Broad Evidence Rule

  68. Brochure Rule

  69. Building Permits

  70. Bundle Of Rights

  71. Business Ethics

  72. Canadian Capital Markets Association - CCMA

  73. Canadian Council Of Insurance Regulators - CCIR 

  74. Canadian Securities Administrators - CSA

  75. Capital Market Line - CML

  76. Cash Flow Statement

  77. Central Registration Depository (CRD)

  78. Chapter 9

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

  80. Child Support

  81. China Securities Regulatory Commission - CSRC

  82. Civil Damages

  83. Civil Money Penalty - CMP

  84. Civil Rights Act of 1964

  85. Clearing House Electronic Subregister System - CHESS

  86. Closed-Market Transaction

  87. Close Period

  88. Cloud On Title

  89. Commercial Code

  90. Commissioner Of Banking

  91. Committee On Payment And Settlement Systems - CPSS

  92. Community Property

  93. Community Reinvestment Act - CRA

  94. Compliance Department

  95. Compliance Examination

  96. Compliance Program

  97. Conditionality

  98. Confession Of Judgment

  99. Confidential Treatment Application

  100. Congress

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