Laws and Regulations Terms

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  1. Consumer Financial Protection Bureau - CFPB

  2. Continuation Statement

  3. Corporate Charter

  4. Corporate Financing Committee

  5. Covered Security

  6. Cumis Counsel

  7. Customer Relationship Management - CRM

  8. Deed

  9. Default Judgment

  10. Deficiency Letter

  11. De Jure Corporation

  12. Delaware Corporation

  13. Delayed Draw Term Loan

  14. Del Credere Agency

  15. Demand Guarantee

  16. Demand Letter

  17. Depository Institutions Act of 1982

  18. Depository Institutions Deregulation Committee – DIDC

  19. Deregulation

  20. Design Patent

  21. Dirks Test

  22. Disclosure

  23. Dividend Drag

  24. Division Of Enforcement

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

  26. Douglas Amendment

  27. Dual Banking System

  28. Durbin Amendment

  29. Duty

  30. Earnings Management

  31. Effective Date

  32. Electronic Benefit Transfer - EBT

  33. Electronic Blue Sheet - EBS

  34. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  35. Electronic Funds Transfer Act

  36. Emergency Banking Act Of 1933

  37. Employer Identification Number - EIN

  38. Energy Resources Conservation Board - ERCB

  39. Engagement Letter

  40. Environmental Impact Statement

  41. Environmental Protection Agency (EPA)

  42. Equal Employment Opportunity Commission - EEOC

  43. Equitable Relief

  44. Erroneous Trade

  45. Escrow Agreement

  46. Estoppel

  47. European Best Bid And Offer - EBBO

  48. Excess Loans

  49. Exchange Fees

  50. Exculpatory Clause

  51. Exempt Transaction

  52. Facilitating Payment

  53. Fair Debt Collection Practices Act - FDCPA

  54. Fair Funds for Investors

  55. Federal Covered Advisor

  56. Federal Energy Regulatory Commission - FERC

  57. Federal Reserve Regulations

  58. Financial Action Task Force (FATF)

  59. Financial Industry Regulatory Authority - FINRA

  60. Financial Institutions Regulatory Act

  61. Financial Privacy

  62. Financial Responsibility Law

  63. Financial Services Modernization Act Of 1999

  64. FINRA BrokerCheck

  65. First To File Rule

  66. Floating Lien

  67. Food And Drug Administration - FDA

  68. Foreign Bank Supervision Enhancement Act - FBSEA

  69. Foreign Corrupt Practices Act

  70. Foreign Qualification

  71. Form 144

  72. Form 3

  73. Form 4

  74. Form 5

  75. Form T

  76. Full Disclosure

  77. Functional Regulation

  78. Glass-Steagall Act

  79. Green Card

  80. Guardian

  81. Handelsgesetzbuch - HGB

  82. Hell or High Water Contract

  83. Hold Harmless Clause

  84. Hospital Visitation Authorization

  85. Immediate Family

  86. Implied Authority

  87. Implied Contract Terms

  88. Incorporation

  89. Incorporeal Rights

  90. Insider

  91. Insider Buying

  92. Insider Information

  93. Insider Trading

  94. Insider Trading Act of 1988

  95. Insider Trading Sanctions Act Of 1984

  96. Insured Financial Institution

  97. International Banking Act of 1978

  98. International Organization Of Securities Commissions - IOSCO

  99. International Securities Exchange - ISE

  100. Intrastate Offering

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