Laws and Regulations Terms

  1. Deed

  2. Default Judgment

  3. Deficiency Letter

  4. Del Credere Agency

  5. Delaware Corporation

  6. Delayed Draw Term Loan

  7. Demand Guarantee

  8. Demand Letter

  9. Depository Institutions Act of 1982

  10. Depository Institutions Deregulation Committee – DIDC

  11. Deregulation

  12. Dirks Test

  13. Disclosure

  14. Dividend Drag

  15. Division Of Enforcement

  16. Dodd-Frank Wall Street Reform and Consumer Protection Act

  17. Douglas Amendment

  18. Dual Banking System

  19. Durbin Amendment

  20. Duty

  21. Earnings Management

  22. Effective Date

  23. Electronic Benefit Transfer - EBT

  24. Electronic Blue Sheet - EBS

  25. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  26. Electronic Funds Transfer Act

  27. Emergency Banking Act Of 1933

  28. Employer Identification Number - EIN

  29. Energy Resources Conservation Board - ERCB

  30. Engagement Letter

  31. Environmental Impact Statement

  32. Environmental Protection Agency (EPA)

  33. Equal Employment Opportunity Commission - EEOC

  34. Equitable Relief

  35. Erroneous Trade

  36. Escrow Agreement

  37. Estoppel

  38. European Best Bid And Offer - EBBO

  39. Excess Loans

  40. Exchange Fees

  41. Exculpatory Clause

  42. Exempt Transaction

  43. Facilitating Payment

  44. Fair Debt Collection Practices Act - FDCPA

  45. Fair Funds for Investors

  46. Federal Covered Advisor

  47. Federal Energy Regulatory Commission - FERC

  48. Federal Reserve Regulations

  49. Financial Industry Regulatory Authority - FINRA

  50. Financial Institutions Regulatory Act

  51. Financial Privacy

  52. Financial Responsibility Law

  53. Financial Services Modernization Act Of 1999

  54. FINRA BrokerCheck

  55. First To File Rule

  56. Floating Lien

  57. Food And Drug Administration - FDA

  58. Foreign Bank Supervision Enhancement Act - FBSEA

  59. Foreign Corrupt Practices Act

  60. Foreign Qualification

  61. Form 144

  62. Form 3

  63. Form 4

  64. Form 5

  65. Form T

  66. Full Disclosure

  67. Functional Regulation

  68. Glass-Steagall Act

  69. Green Card

  70. Guardian

  71. Handelsgesetzbuch - HGB

  72. Hell or High Water Contract

  73. Hold Harmless Clause

  74. Hospital Visitation Authorization

  75. Immediate Family

  76. Implied Authority

  77. Implied Contract Terms

  78. Incorporation

  79. Incorporeal Rights

  80. Insider

  81. Insider Buying

  82. Insider Information

  83. Insider Trading

  84. Insider Trading Act of 1988

  85. Insider Trading Sanctions Act Of 1984

  86. Insured Financial Institution

  87. International Banking Act of 1978

  88. International Organization Of Securities Commissions - IOSCO

  89. International Securities Exchange - ISE

  90. Intrastate Offering

  91. Investment Advisors Act Of 1940

  92. Investment Industry Regulatory Organization of Canada - IIROC

  93. Investor Protection Act

  94. IPO Lock-Up

  95. Islamic Financial Services Board - IFSB

  96. ISO 14000

  97. ISO 9000

  98. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  99. Joint And Several Liability

  100. Judgment

Hot Definitions
  1. Oil Reserves

    An estimate of the amount of crude oil located in a particular economic region. Oil reserves must have the potential of being extracted under current technological constraints. For example, if oil pools are located at unattainable depths, they would not be considered part of the nation's reserves.
  2. Joint Venture - JV

    A business arrangement in which two or more parties agree to pool their resources for the purpose of accomplishing a specific task. This task can be a new project or any other business activity. In a joint venture (JV), each of the participants is responsible for profits, losses and costs associated with it.
  3. Aggregate Risk

    The exposure of a bank, financial institution, or any type of major investor to foreign exchange contracts - both spot and forward - from a single counterparty or client. Aggregate risk in forex may also be defined as the total exposure of an entity to changes or fluctuations in currency rates.
  4. Organic Growth

    The growth rate that a company can achieve by increasing output and enhancing sales. This excludes any profits or growth acquired from takeovers, acquisitions or mergers. Takeovers, acquisitions and mergers do not bring about profits generated within the company, and are therefore not considered organic.
  5. 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.
  6. 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.
Trading Center