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Laws and Regulations Terms

  1. Covered Security

  2. Customer Relationship Management - CRM

  3. De Jure Corporation

  4. Deed

  5. Default Judgment

  6. Deficiency Letter

  7. Del Credere Agency

  8. Delaware Corporation

  9. Delayed Draw Term Loan

  10. Demand Guarantee

  11. Demand Letter

  12. Depository Institutions Act of 1982

  13. Depository Institutions Deregulation Committee – DIDC

  14. Deregulation

  15. Dirks Test

  16. Disclosure

  17. Dividend Drag

  18. Division Of Enforcement

  19. Dodd-Frank Financial Regulatory Reform Bill

  20. Douglas Amendment

  21. Dual Banking System

  22. Durbin Amendment

  23. Duty

  24. Earnings Management

  25. Effective Date

  26. Electronic Benefit Transfer - EBT

  27. Electronic Blue Sheet - EBS

  28. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  29. Electronic Funds Transfer Act

  30. Emergency Banking Act Of 1933

  31. Employer Identification Number - EIN

  32. Energy Resources Conservation Board - ERCB

  33. Engagement Letter

  34. Environmental Impact Statement

  35. Environmental Protection Agency (EPA)

  36. Equal Employment Opportunity Commission - EEOC

  37. Equitable Relief

  38. Erroneous Trade

  39. Escrow Agreement

  40. Estoppel

  41. European Best Bid And Offer - EBBO

  42. Excess Loans

  43. Exchange Fees

  44. Exculpatory Clause

  45. Exempt Transaction

  46. Facilitating Payment

  47. Fair Debt Collection Practices Act - FDCPA

  48. Fair Funds for Investors

  49. Federal Covered Advisor

  50. Federal Energy Regulatory Commission - FERC

  51. Federal Reserve Regulations

  52. Financial Industry Regulatory Authority - FINRA

  53. Financial Institutions Regulatory Act

  54. Financial Privacy

  55. Financial Responsibility Law

  56. Financial Services Modernization Act Of 1999

  57. FINRA BrokerCheck

  58. First To File Rule

  59. Floating Lien

  60. Food And Drug Administration - FDA

  61. Foreign Bank Supervision Enhancement Act - FBSEA

  62. Foreign Corrupt Practices Act

  63. Foreign Qualification

  64. Form 144

  65. Form 3

  66. Form 4

  67. Form 5

  68. Form T

  69. Full Disclosure

  70. Functional Regulation

  71. Green Card

  72. Guardian

  73. Handelsgesetzbuch - HGB

  74. Hell or High Water Contract

  75. Hold Harmless Clause

  76. Immediate Family

  77. Implied Authority

  78. Implied Contract Terms

  79. Incorporation

  80. Incorporeal Rights

  81. Insider

  82. Insider Buying

  83. Insider Information

  84. Insider Trading

  85. Insider Trading Act of 1988

  86. Insider Trading Sanctions Act Of 1984

  87. Insured Financial Institution

  88. International Banking Act of 1978

  89. International Organization Of Securities Commissions - IOSCO

  90. International Securities Exchange - ISE

  91. Intrastate Offering

  92. Investment Advisors Act Of 1940

  93. Investment Industry Regulatory Organization of Canada - IIROC

  94. Investor Protection Act

  95. IPO Lock-Up

  96. Islamic Financial Services Board - IFSB

  97. ISO 14000

  98. ISO 9000

  99. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  100. Joint And Several Liability

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