Laws and Regulations Terms

  1. SEC Form N-PX

  2. SEC Form N-Q

  3. SEC Form N-SAR

  4. SEC Form NSAR-A

  5. SEC Form NSAR-AT

  6. SEC Form NSAR-B

  7. SEC Form NSAR-BT

  8. SEC Form NSAR-U

  9. SEC Form NT 10-K

  10. SEC Form NT 10-Q

  11. SEC Form NT 11-K

  12. SEC Form NT-NSAR

  13. SEC Form NT15D2

  14. SEC Form PILOT

  15. SEC Form PRE 14A

  16. SEC Form PRE 14C

  17. SEC Form PRE13E3

  18. SEC Form PREC14A

  19. SEC Form PREC14C

  20. SEC Form PREM14A

  21. SEC Form PREM14C

  22. SEC Form PRER14A

  23. SEC Form PRER14C

  24. SEC Form PRES14A

  25. SEC Form PRES14C

  26. SEC Form PRRN14A

  27. SEC Form PX14A6G

  28. SEC Form R31

  29. SEC Form S-1

  30. SEC Form S-11

  31. SEC Form S-2

  32. SEC Form S-20

  33. SEC Form S-3

  34. SEC Form S-3D

  35. SEC Form S-4

  36. SEC Form S-4EF

  37. SEC Form S-6

  38. SEC Form S-8

  39. SEC Form SB-1

  40. SEC Form SB-2

  41. SEC Form SP15D2

  42. SEC Form T-1

  43. SEC Form T-2

  44. SEC Form T-3

  45. SEC Form T-4

  46. SEC Form T-6

  47. SEC Form TA-1

  48. SEC Form TA-2

  49. SEC Form U-1

  50. SEC Form U-12-1B

  51. SEC Form U-12-IA

  52. SEC Form U-13-1

  53. SEC Form U-13-60

  54. SEC Form U-13E-1

  55. SEC Form U-33-S

  56. SEC Form U-3A-2

  57. SEC Form U-3A3-1

  58. SEC Form U-57

  59. SEC Form U-5S

  60. SEC Form U-6B-2

  61. SEC Form U-7D

  62. SEC Form U-9C-3

  63. SEC Form U-R-1

  64. SEC Form U5A

  65. SEC Form U5B

  66. SEC Form X-15AJ-1

  67. SEC Form X-15AJ-2

  68. SEC Form X-17A-5

  69. SEC MEF Filings

  70. SEC POS AM Filing

  71. SEC Release IA-1092

  72. SEC RW Filing

  73. SEC Schedule 13D

  74. SEC Schedule 13E-3

  75. SEC Yield

  76. Secondary Liability

  77. Section 12D-1 Limit

  78. Section 16

  79. Securities Act Of 1933

  80. Securities And Exchange Board Of India - SEBI

  81. Securities And Exchange Commission - SEC

  82. Securities Exchange Act Of 1934

  83. Securities Fraud

  84. Securities Industry Regulatory Authority - SIRA

  85. Securities Investor Protection Corporation - SIPC

  86. Self-Regulatory Organization - SRO

  87. Senate Bill

  88. Senior Registered Options Principal - SROP

  89. Sharia

  90. Shelf Offering

  91. Shelf Registration

  92. Short-Sale Rule

  93. Short-Swing Profit Rule

  94. Sick Industrial Companies Act (SICA)

  95. Slow Loan

  96. Smart Money

  97. Social Host Liability

  98. Special Economic Zone - SEZ

  99. Sponsor

  100. Stability And Growth Pact - SGP

Hot Definitions
  1. Pension Risk Transfer

    When a defined benefit pension provider offloads some or all of the plan’s risk – e.g.: retirement payment liabilities to former employee beneficiaries. The plan sponsor can do this by offering vested plan participants a lump-sum payment to voluntarily leave the plan, or by negotiating with an insurance company to take on the responsibility for paying benefits.
  2. XW

    A symbol used to signify that a security is trading ex-warrant. XW is one of many alphabetic qualifiers that act as a shorthand to tell investors key information about a specific security in a stock quote. These qualifiers should not be confused with ticker symbols, some of which, like qualifiers, are just one or two letters.
  3. Quanto Swap

    A swap with varying combinations of interest rate, currency and equity swap features, where payments are based on the movement of two different countries' interest rates. This is also referred to as a differential or "diff" swap.
  4. Genuine Progress Indicator - GPI

    A metric used to measure the economic growth of a country. It is often considered as a replacement to the more well known gross domestic product (GDP) economic indicator. The GPI indicator takes everything the GDP uses into account, but also adds other figures that represent the cost of the negative effects related to economic activity (such as the cost of crime, cost of ozone depletion and cost of resource depletion, among others).
  5. Accelerated Share Repurchase - ASR

    A specific method by which corporations can repurchase outstanding shares of their stock. The accelerated share repurchase (ASR) is usually accomplished by the corporation purchasing shares of its stock from an investment bank. The investment bank borrows the shares from clients or share lenders and sells them to the company.
  6. Microeconomic Pricing Model

    A model of the way prices are set within a market for a given good. According to this model, prices are set based on the balance of supply and demand in the market. In general, profit incentives are said to resemble an "invisible hand" that guides competing participants to an equilibrium price. The demand curve in this model is determined by consumers attempting to maximize their utility, given their budget.
Trading Center