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 Trading System - ATS

  26. Amendment

  27. American Clean Energy And Security Act Of 2009

  28. American Jobs Creation Act Of 2004

  29. American Rule

  30. Americans With Disabilities Act - ADA

  31. Anti-Boycott Regulations

  32. Anti-Reciprocal Rule

  33. Appraised Equity Capital

  34. Appurtenance

  35. Article 9

  36. ASC X12

  37. ASC X9

  38. Asset Liquidation Agreement (ALA)

  39. Assignor

  40. Attachment

  41. Attestation

  42. Attorney's Fee Awards

  43. Attorney's Letter

  44. Attorney In Fact

  45. Attribution Rules

  46. Audit Trail

  47. Authorized Investment

  48. Backing Away

  49. Baked In The Cake

  50. Banking And Securities Industry Committee - BASIC

  51. Banking Department

  52. Bank Restriction Act of 1797

  53. Bank Secrecy Act - BSA

  54. Basel Accord

  55. Basel I

  56. Basel II

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

  58. Best Bid

  59. Best Practices

  60. Bilateral Credit Limit

  61. Blue Sheets

  62. Boilerplate

  63. Bona Vacantia

  64. British Columbia Securities Commission

  65. Broad Evidence Rule

  66. Brochure Rule

  67. Building Permits

  68. Bundle Of Rights

  69. Business Ethics

  70. Canadian Capital Markets Association - CCMA

  71. Canadian Council Of Insurance Regulators - CCIR 

  72. Canadian Securities Administrators - CSA

  73. Capital Market Line - CML

  74. Cash Flow Statement

  75. Central Registration Depository (CRD)

  76. Chapter 9

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

  78. Child Support

  79. China Securities Regulatory Commission - CSRC

  80. Civil Damages

  81. Civil Money Penalty - CMP

  82. Civil Rights Act of 1964

  83. Clearing House Electronic Subregister System - CHESS

  84. Closed-Market Transaction

  85. Close Period

  86. Cloud On Title

  87. Commercial Code

  88. Commissioner Of Banking

  89. Committee On Payment And Settlement Systems - CPSS

  90. Community Property

  91. Community Reinvestment Act - CRA

  92. Compliance Department

  93. Compliance Examination

  94. Compliance Program

  95. Conditionality

  96. Confession Of Judgment

  97. Confidential Treatment Application

  98. Congress

  99. Consolidated Omnibus Budget Reconciliation Act - COBRA

  100. Construction Lien

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