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. Direct Consolidation Loan

    A loan that combines two or more federal education loans into a single loan. A Direct Consolidation Loan allows the borrower to make a single monthly payment. The loan is facilitated by the U.S. Department of Education and does not require borrowers to pay an application fee.
  2. Through Fund

    A type of target-date retirement fund whose asset allocation includes higher risk and potentially higher return investments "through" the fund's target date and beyond.
  3. Last In, First Out - LIFO

    An asset-management and valuation method that assumes that assets produced or acquired last are the ones that are used, sold or disposed of first.
  4. Variable Universal Life Insurance - VUL

    A form of cash-value life insurance that offers both a death benefit and an investment feature. The premium amount for variable universal life insurance (VUL) is flexible and may be changed by the consumer as needed, though these changes can result in a change in the coverage amount.
  5. Monetary Policy

    The actions of a central bank, currency board or other regulatory committee that determine the size and rate of growth of the money supply, which in turn affects interest rates. Monetary policy is maintained through actions such as increasing the interest rate, or changing the amount of money banks need to keep in the vault (bank reserves).
  6. Weak Shorts

    Traders or investors who hold a short position in a stock or other financial asset who will close it out at the first indication of price strength. Weak shorts are typically investors with limited financial capacity, which may preclude them from taking on too much risk on a single short position.
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