Laws and Regulations Terms

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  1. International Banking Act of 1978

  2. International Organization Of Securities Commissions - IOSCO

  3. International Securities Exchange - ISE

  4. Intrastate Offering

  5. Investment Advisers Act of 1940

  6. Investment Industry Regulatory Organization of Canada - IIROC

  7. Investor Protection Act

  8. IPO Lock-Up

  9. Islamic Financial Services Board - IFSB

  10. ISO 14000

  11. ISO 9000

  12. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  13. Joint And Several Liability

  14. Judgment

  15. Jumpstart Our Business Startups Act - JOBS

  16. Jurisdiction Risk

  17. Katie Couric Clause

  18. Large Trader

  19. Legal Lending Limit

  20. Legal Rate Of Interest

  21. Legend

  22. Legislative Overkill

  23. Letter Of Comment

  24. Letters Patent

  25. Libel

  26. Licensed For Reinsurance Only

  27. Lilly Ledbetter Fair Pay Act

  28. Lilly Ledbetter Fair Pay Act

  29. Limited Power Of Attorney - LPOA

  30. Liquidated Damages

  31. Listing Requirements

  32. Locked Market

  33. Loophole

  34. Loss Disallowance Rule - LDR

  35. Mail Or Telephone Order Merchandise Rule

  36. Maintenance Margin

  37. Malfeasance

  38. Mandatory Binding Arbitration

  39. Market Capitalization Rule

  40. Market Performance Committee

  41. Markets in Financial Instruments Directive - MiFID

  42. Master-Servant Rule

  43. Material Insider Information

  44. Mechanic's Lien

  45. Mineral Rights

  46. Minimum-Interest Rules

  47. Misappropriation Theory

  48. Multijurisdictional Disclosure System - MJDS

  49. National Association Of Securities Dealers - NASD

  50. National Market System Plan - NMSP

  51. National Treatment

  52. NCUA-Insured Institution

  53. Nevada Corporation

  54. No-Shop Clause

  55. Non-Covered Security

  56. Non-Disclosure Agreement - NDA

  57. Non-Negotiable

  58. Non-Open Market

  59. Non-Resident

  60. Nonfeasance

  61. Nonresident Alien

  62. Notice Filing

  63. Novation

  64. Occupational Safety And Health Act

  65. Office Of Thrift Supervision - OTS

  66. Oil Pollution Act Of 1990

  67. Ombudsman

  68. Ontario Securities Commission - OSC

  69. Open-Market Transaction

  70. Options Backdating

  71. Option Schedule

  72. Options Clearing Corporation - OCC

  73. Order Protection Rule

  74. Organic Act of the Department of Labor

  75. Over-The-Counter Bulletin Board - OTCBB

  76. Patent

  77. Patent Agent

  78. Patent Attorney

  79. Patent Pending

  80. Patent Reexamination

  81. PCI Compliance

  82. Periodic Payment Plan Certificate

  83. Plant Patent

  84. Poop

  85. Power Of Attorney

  86. Power of Attorney of Property

  87. Pre-Syndicate Bid

  88. Preliminary Prospectus

  89. Preparer Tax Identification Number - PTIN

  90. Price Cap Regulation

  91. Primary Exchange

  92. Principal-Agent Relationship

  93. Private Securities Litigation Reform Act – PSLRA

  94. Pro-Tanto

  95. Promissory Estoppel

  96. Provisional Patent Application

  97. Proxy Statement

  98. Prudent-Person Rule

  99. Prudent Investor Act

  100. Prudent Investor Rule

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