Laws and Regulations Terms

  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. Administrator

  12. ADV Form

  13. Adware

  14. Affidavit Of Loss

  15. Affirmative Action

  16. Affirmative Obligation

  17. Agency By Necessity

  18. Alberta Securities Commission - ASC

  19. Alimony Payment

  20. All-Holders Rule

  21. Alternative Trading System - ATS

  22. Amendment

  23. American Clean Energy And Security Act Of 2009

  24. American Jobs Creation Act Of 2004

  25. American Rule

  26. Americans With Disabilities Act - ADA

  27. Anti-Boycott Regulations

  28. Anti-Reciprocal Rule

  29. Appurtenance

  30. Article 9

  31. ASC X12

  32. ASC X9

  33. Assignor

  34. Attachment

  35. Attestation

  36. Attorney In Fact

  37. Attorney's Fee Awards

  38. Attorney's Letter

  39. Attribution Rules

  40. Audit Trail

  41. Authorized Investment

  42. Backing Away

  43. Baked In The Cake

  44. Bank Restriction Act of 1797

  45. Bank Secrecy Act - BSA

  46. Banking And Securities Industry Committee - BASIC

  47. Banking Department

  48. Basel Accord

  49. Basel I

  50. Basel II

  51. Best Bid

  52. Best Practices

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

  54. Bilateral Credit Limit

  55. Blue Sheets

  56. Boilerplate

  57. Bona Vacantia

  58. British Columbia Securities Commission

  59. Broad Evidence Rule

  60. Brochure Rule

  61. Building Permits

  62. Bundle Of Rights

  63. Business Ethics

  64. Canadian Capital Markets Association - CCMA

  65. Canadian Council Of Insurance Regulators - CCIR 

  66. Canadian Securities Administrators - CSA

  67. Capital Market Line - CML

  68. Cash Flow Statement

  69. Central Registration Depository (CRD)

  70. Chapter 9

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

  72. Child Support

  73. China Securities Regulatory Commission - CSRC

  74. Civil Damages

  75. Civil Money Penalty - CMP

  76. Clearing House Electronic Subregister System - CHESS

  77. Close Period

  78. Closed-Market Transaction

  79. Cloud On Title

  80. Commercial Code

  81. Commissioner Of Banking

  82. Committee On Payment And Settlement Systems - CPSS

  83. Community Property

  84. Community Reinvestment Act - CRA

  85. Compliance Department

  86. Compliance Examination

  87. Compliance Program

  88. Conditionality

  89. Confession Of Judgment

  90. Confidential Treatment Application

  91. Congress

  92. Consolidated Omnibus Budget Reconciliation Act - COBRA

  93. Construction Lien

  94. Consumer Financial Protection Bureau - CFPB

  95. Continuation Statement

  96. Corporate Charter

  97. Corporate Financing Committee

  98. Covered Security

  99. Customer Relationship Management - CRM

  100. De Jure Corporation

Hot Definitions
  1. Family Limited Partnership - FLP

    A type of partnership designed to centralize family business or investment accounts. FLPs pool together a family's assets into one single family-owned business partnership that family members own shares of. FLPs are frequently used as an estate tax minimization strategy, as shares in the FLP can be transferred between generations, at lower taxation rates than would be applied to the partnership's holdings.
  2. Yield Burning

    The illegal practice of underwriters marking up the prices on bonds for the purpose of reducing the yield on the bond. This practice, referred to as "burning the yield," is done after the bond is placed in escrow for an investor who is awaiting repayment.
  3. Marginal Analysis

    An examination of the additional benefits of an activity compared to the additional costs of that activity. Companies use marginal analysis as a decision-making tool to help them maximize their profits. Individuals unconsciously use marginal analysis to make a host of everyday decisions. Marginal analysis is also widely used in microeconomics when analyzing how a complex system is affected by marginal manipulation of its comprising variables.
  4. Treasury Inflation Protected Securities - TIPS

    A treasury security that is indexed to inflation in order to protect investors from the negative effects of inflation. TIPS are considered an extremely low-risk investment since they are backed by the U.S. government and since their par value rises with inflation, as measured by the Consumer Price Index, while their interest rate remains fixed.
  5. Gilt-Edged Switching

    The selling and repurchasing of certain high-grade stocks or bonds to capture profits. Gilt-edged switching involves gilt-edged security, which can be high-grade stock or bond issued by a financially stable company such as the Blue Chip companies or by certain governments.
  6. Master Limited Partnership - MLP

    A type of limited partnership that is publicly traded. There are two types of partners in this type of partnership: The limited partner is the person or group that provides the capital to the MLP and receives periodic income distributions from the MLP's cash flow, whereas the general partner is the party responsible for managing the MLP's affairs and receives compensation that is linked to the performance of the venture.
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