Laws and Regulations Terms

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  1. International Organization Of Securities Commissions - IOSCO

  2. International Securities Exchange - ISE

  3. Intrastate Offering

  4. Investment Advisers Act of 1940

  5. Investment Industry Regulatory Organization of Canada - IIROC

  6. Investor Protection Act

  7. IPO Lock-Up

  8. Islamic Financial Services Board - IFSB

  9. ISO 14000

  10. ISO 9000

  11. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  12. Joint And Several Liability

  13. Judgment

  14. Jumpstart Our Business Startups Act - JOBS

  15. Jurisdiction Risk

  16. Katie Couric Clause

  17. Large Trader

  18. Legal Lending Limit

  19. Legal Rate Of Interest

  20. Legend

  21. Legislative Overkill

  22. Letter Of Comment

  23. Letters Patent

  24. Libel

  25. Licensed For Reinsurance Only

  26. Lilly Ledbetter Fair Pay Act

  27. Lilly Ledbetter Fair Pay Act

  28. Limited Power Of Attorney - LPOA

  29. Liquidated Damages

  30. Listing Requirements

  31. Locked Market

  32. Loophole

  33. Loss Disallowance Rule - LDR

  34. Mail Or Telephone Order Merchandise Rule

  35. Maintenance Margin

  36. Malfeasance

  37. Mandatory Binding Arbitration

  38. Market Capitalization Rule

  39. Market Performance Committee

  40. Markets in Financial Instruments Directive - MiFID

  41. Master-Servant Rule

  42. Material Insider Information

  43. Mechanic's Lien

  44. Mineral Rights

  45. Minimum-Interest Rules

  46. Misappropriation Theory

  47. Multijurisdictional Disclosure System - MJDS

  48. National Association Of Securities Dealers - NASD

  49. National Market System Plan - NMSP

  50. National Treatment

  51. NCUA-Insured Institution

  52. Nevada Corporation

  53. No-Shop Clause

  54. Non-Covered Security

  55. Non-Disclosure Agreement - NDA

  56. Non-Negotiable

  57. Non-Open Market

  58. Non-Resident

  59. Nonfeasance

  60. Nonresident Alien

  61. Notice Filing

  62. Novation

  63. Occupational Safety And Health Act

  64. Office Of Thrift Supervision - OTS

  65. Oil Pollution Act Of 1990

  66. Ombudsman

  67. Ontario Securities Commission - OSC

  68. Open-Market Transaction

  69. Options Backdating

  70. Option Schedule

  71. Options Clearing Corporation - OCC

  72. Order Protection Rule

  73. Organic Act of the Department of Labor

  74. Over-The-Counter Bulletin Board - OTCBB

  75. Patent

  76. Patent Agent

  77. Patent Attorney

  78. Patent Pending

  79. Patent Reexamination

  80. PCI Compliance

  81. Periodic Payment Plan Certificate

  82. Plant Patent

  83. Poop

  84. Power Of Attorney

  85. Power of Attorney of Property

  86. Pre-Syndicate Bid

  87. Preliminary Prospectus

  88. Preparer Tax Identification Number - PTIN

  89. Price Cap Regulation

  90. Primary Exchange

  91. Principal-Agent Relationship

  92. Private Securities Litigation Reform Act – PSLRA

  93. Pro-Tanto

  94. Promissory Estoppel

  95. Provisional Patent Application

  96. Proxy Statement

  97. Prudent-Person Rule

  98. Prudent Investor Act

  99. Prudent Investor Rule

  100. Public Offering

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