Laws and Regulations Terms

  1. Regulation H

  2. Regulation I

  3. Regulation J

  4. Regulation K

  5. Regulation L

  6. Regulation M

  7. Regulation N

  8. Regulation NMS

  9. Regulation O

  10. Regulation P

  11. Regulation Q

  12. Regulation R

  13. Regulation SHO

  14. Regulation T - Reg T

  15. Regulation U

  16. Regulation V

  17. Regulation W

  18. Regulation X

  19. Regulation Y

  20. Regulation Z

  21. Regulatory Accounting Principles - RAP

  22. Regulatory Arbitrage

  23. Regulatory Capture

  24. Regulatory Risk

  25. Request For Proposal - RFP

  26. Requisitioned Property

  27. Rescission

  28. Resident Alien

  29. Respondeat Superior

  30. Restatement

  31. Restitution Payments

  32. Retired Securities

  33. Revenue Cap Regulation

  34. Revenue Regulation Fund

  35. Riba

  36. Right Of Egress

  37. Riskless Principal

  38. Rule 10b-18

  39. Rule 10b-5

  40. Rule 10b-6

  41. Rule 10b5-1

  42. Rule 144

  43. Rule 144A

  44. Rule 147

  45. Rules Of Fair Practice

  46. Running With The Land

  47. S-3 Filing

  48. S-8 Filing

  49. Sales And Purchase Agreement - SPA

  50. Schedule 13D

  51. Schedule 13E-4

  52. Schedule 13E-4F

  53. Schedule 13G

  54. Schedule 14D-9

  55. Schedule 14D-9F

  56. Schedule D

  57. Schedule TO-T

  58. SEC DEL AM Filing

  59. SEC Fee

  60. SEC Form 1

  61. SEC Form 1-A

  62. SEC Form 1-E

  63. SEC Form 1-N

  64. SEC Form 10

  65. SEC Form 10-12B

  66. SEC Form 10-12G

  67. SEC Form 10-C

  68. SEC Form 10-D

  69. SEC Form 10-K405

  70. SEC Form 10-KSB

  71. SEC Form 10-KSB405

  72. SEC Form 10-KT

  73. SEC Form 10-KT405

  74. SEC Form 10-Q

  75. SEC Form 10-QSB

  76. SEC Form 10-QT

  77. SEC Form 10-SB

  78. SEC Form 10SB12B

  79. SEC Form 11-K

  80. SEC Form 11-KT

  81. SEC Form 12b-25

  82. SEC Form 13F

  83. SEC Form 15

  84. SEC Form 15-12B

  85. SEC Form 15-12G

  86. SEC Form 15-15D

  87. SEC Form 15F

  88. SEC Form 17-H

  89. SEC Form 18

  90. SEC Form 18-12B

  91. SEC Form 18-12G

  92. SEC Form 18-K

  93. SEC Form 19b-4

  94. SEC Form 19b-4(e)

  95. SEC Form 19b-7

  96. SEC Form 2-A

  97. SEC Form 2-E

  98. SEC Form 20-F

  99. SEC Form 20FR12B

  100. SEC Form 20FR12G

Hot Definitions
  1. Identity Fraud Reimbursement Program

    A financial product that offers reimbursment for the costs associated with having been a victim of identity theft. These costs may include getting affidavits notarized for police and financial institutions, postage for sending certified mail to police and financial institutions, lost earnings resulting from time spent recovering one's identity, and legal fees.
  2. Cash and Carry Transaction

    A type of transaction in the futures market in which the cash or spot price of a commodity is below the futures contract price. Cash and carry transactions are considered arbitrage transactions.
  3. Amplitude

    The difference in price from the midpoint of a trough to the midpoint of a peak of a security. Amplitude is positive when calculating a bullish retracement (when calculating from trough to peak) and negative when calculating a bearish retracement (when calculating from peak to trough).
  4. Ascending Triangle

    A bullish chart pattern used in technical analysis that is easily recognizable by the distinct shape created by two trendlines. In an ascending triangle, one trendline is drawn horizontally at a level that has historically prevented the price from heading higher, while the second trendline connects a series of increasing troughs.
  5. National Best Bid and Offer - NBBO

    A term applying to the SEC requirement that brokers must guarantee customers the best available ask price when they buy securities and the best available bid price when they sell securities.
  6. Maintenance Margin

    The minimum amount of equity that must be maintained in a margin account. In the context of the NYSE and FINRA, after an investor has bought securities on margin, the minimum required level of margin is 25% of the total market value of the securities in the margin account.
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