Laws and Regulations Terms

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  1. Intrastate Offering

  2. Investment Advisors Act Of 1940

  3. Investment Industry Regulatory Organization of Canada - IIROC

  4. Investor Protection Act

  5. IPO Lock-Up

  6. Islamic Financial Services Board - IFSB

  7. ISO 14000

  8. ISO 9000

  9. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  10. Joint And Several Liability

  11. Judgment

  12. Jumpstart Our Business Startups Act - JOBS

  13. Jurisdiction Risk

  14. Katie Couric Clause

  15. Large Trader

  16. Legal Lending Limit

  17. Legal Rate Of Interest

  18. Legend

  19. Legislative Overkill

  20. Letter Of Comment

  21. Letters Patent

  22. Licensed For Reinsurance Only

  23. Lilly Ledbetter Fair Pay Act

  24. Lilly Ledbetter Fair Pay Act

  25. Limited Power Of Attorney - LPOA

  26. Liquidated Damages

  27. Listing Requirements

  28. Locked Market

  29. Loophole

  30. Loss Disallowance Rule - LDR

  31. Mail Or Telephone Order Merchandise Rule

  32. Maintenance Margin

  33. Malfeasance

  34. Mandatory Binding Arbitration

  35. Market Capitalization Rule

  36. Market Performance Committee

  37. Markets in Financial Instruments Directive - MiFID

  38. Master-Servant Rule

  39. Material Insider Information

  40. Mechanic's Lien

  41. Mineral Rights

  42. Minimum-Interest Rules

  43. Misappropriation Theory

  44. Multijurisdictional Disclosure System - MJDS

  45. National Association Of Securities Dealers - NASD

  46. National Market System Plan - NMSP

  47. National Treatment

  48. NCUA-Insured Institution

  49. Nevada Corporation

  50. No-Shop Clause

  51. Non-Covered Security

  52. Non-Disclosure Agreement - NDA

  53. Non-Negotiable

  54. Non-Open Market

  55. Non-Resident

  56. Nonfeasance

  57. Nonresident Alien

  58. Notice Filing

  59. Novation

  60. Occupational Safety And Health Act

  61. Office Of Thrift Supervision - OTS

  62. Oil Pollution Act Of 1990

  63. Ombudsman

  64. Ontario Securities Commission - OSC

  65. Open-Market Transaction

  66. Options Backdating

  67. Option Schedule

  68. Options Clearing Corporation - OCC

  69. Order Protection Rule

  70. Organic Act of the Department of Labor

  71. Over-The-Counter Bulletin Board - OTCBB

  72. Patent

  73. Patent Agent

  74. Patent Attorney

  75. Patent Pending

  76. Patent Reexamination

  77. Periodic Payment Plan Certificate

  78. Plant Patent

  79. Poop

  80. Power Of Attorney

  81. Power of Attorney of Property

  82. Pre-Syndicate Bid

  83. Preliminary Prospectus

  84. Preparer Tax Identification Number - PTIN

  85. Price Cap Regulation

  86. Primary Exchange

  87. Principal-Agent Relationship

  88. Private Securities Litigation Reform Act – PSLRA

  89. Pro-Tanto

  90. Promissory Estoppel

  91. Provisional Patent Application

  92. Proxy Statement

  93. Prudent-Person Rule

  94. Prudent Investor Act

  95. Prudent Investor Rule

  96. Public Offering

  97. Pujo Committee

  98. Punitive Damages

  99. Qualified Domestic Relations Order - QDRO

  100. Qualified Institutional Buyer - QIB

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