Laws and Regulations Terms

  1. Default Judgment

  2. Deficiency Letter

  3. Del Credere Agency

  4. Delaware Corporation

  5. Delayed Draw Term Loan

  6. Demand Guarantee

  7. Demand Letter

  8. Depository Institutions Act of 1982

  9. Depository Institutions Deregulation Committee – DIDC

  10. Deregulation

  11. Dirks Test

  12. Disclosure

  13. Dividend Drag

  14. Division Of Enforcement

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

  16. Douglas Amendment

  17. Dual Banking System

  18. Durbin Amendment

  19. Duty

  20. Earnings Management

  21. Effective Date

  22. Electronic Benefit Transfer - EBT

  23. Electronic Blue Sheet - EBS

  24. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  25. Electronic Funds Transfer Act

  26. Emergency Banking Act Of 1933

  27. Employer Identification Number - EIN

  28. Energy Resources Conservation Board - ERCB

  29. Engagement Letter

  30. Environmental Impact Statement

  31. Environmental Protection Agency (EPA)

  32. Equal Employment Opportunity Commission - EEOC

  33. Equitable Relief

  34. Erroneous Trade

  35. Escrow Agreement

  36. Estoppel

  37. European Best Bid And Offer - EBBO

  38. Excess Loans

  39. Exchange Fees

  40. Exculpatory Clause

  41. Exempt Transaction

  42. Facilitating Payment

  43. Fair Debt Collection Practices Act - FDCPA

  44. Fair Funds for Investors

  45. Federal Covered Advisor

  46. Federal Energy Regulatory Commission - FERC

  47. Federal Reserve Regulations

  48. Financial Industry Regulatory Authority - FINRA

  49. Financial Institutions Regulatory Act

  50. Financial Privacy

  51. Financial Responsibility Law

  52. Financial Services Modernization Act Of 1999

  53. FINRA BrokerCheck

  54. First To File Rule

  55. Floating Lien

  56. Food And Drug Administration - FDA

  57. Foreign Bank Supervision Enhancement Act - FBSEA

  58. Foreign Corrupt Practices Act

  59. Foreign Qualification

  60. Form 144

  61. Form 3

  62. Form 4

  63. Form 5

  64. Form T

  65. Full Disclosure

  66. Functional Regulation

  67. Glass-Steagall Act

  68. Green Card

  69. Guardian

  70. Handelsgesetzbuch - HGB

  71. Hell or High Water Contract

  72. Hold Harmless Clause

  73. Immediate Family

  74. Implied Authority

  75. Implied Contract Terms

  76. Incorporation

  77. Incorporeal Rights

  78. Insider

  79. Insider Buying

  80. Insider Information

  81. Insider Trading

  82. Insider Trading Act of 1988

  83. Insider Trading Sanctions Act Of 1984

  84. Insured Financial Institution

  85. International Banking Act of 1978

  86. International Organization Of Securities Commissions - IOSCO

  87. International Securities Exchange - ISE

  88. Intrastate Offering

  89. Investment Advisors Act Of 1940

  90. Investment Industry Regulatory Organization of Canada - IIROC

  91. Investor Protection Act

  92. IPO Lock-Up

  93. Islamic Financial Services Board - IFSB

  94. ISO 14000

  95. ISO 9000

  96. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  97. Joint And Several Liability

  98. Judgment

  99. Jumpstart Our Business Startups Act - JOBS

  100. Jurisdiction Risk

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