Laws and Regulations Terms

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  1. Full Disclosure

  2. Guardian

  3. Handelsgesetzbuch - HGB

  4. Hell or High Water Contract

  5. IPO Lock-Up

  6. Immediate Family

  7. Incorporation

  8. Insider

  9. Insider Information

  10. Insider Trading

  11. International Organization Of Securities Commissions - IOSCO

  12. International Securities Exchange - ISE

  13. Intrastate Offering

  14. Investment Advisors Act Of 1940

  15. Islamic Financial Services Board - IFSB

  16. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  17. Judgment

  18. Katie Couric Clause

  19. Large Trader

  20. Legend

  21. Legislative Overkill

  22. Letter Of Comment

  23. Limited Power Of Attorney - LPOA

  24. Liquidated Damages

  25. Listing Requirements

  26. Locked Market

  27. Loophole

  28. Maintenance Margin

  29. Market Performance Committee

  30. Markets in Financial Instruments Directive - MiFID

  31. Material Insider Information

  32. Minimum-Interest Rules

  33. Misappropriation Theory

  34. National Association Of Securities Dealers - NASD

  35. National Treatment

  36. Nevada Corporation

  37. Non-Disclosure Agreement - NDA

  38. Non-Negotiable

  39. Non-Resident

  40. Nonresident Alien

  41. Notice Filing

  42. Novation

  43. Office Of Thrift Supervision - OTS

  44. Open-Market Transaction

  45. Option Schedule

  46. Options Backdating

  47. Options Clearing Corporation - OCC

  48. Order Protection Rule

  49. Organic Act of the Department of Labor

  50. Over-The-Counter Bulletin Board - OTCBB

  51. Patent

  52. Patent Reexamination

  53. Poop

  54. Power Of Attorney

  55. Power of Attorney of Property

  56. Pre-Syndicate Bid

  57. Preliminary Prospectus

  58. Pro-Tanto

  59. Proxy Statement

  60. Prudent-Person Rule

  61. Public Offering

  62. Punitive Damages

  63. Qualified Institutional Buyer - QIB

  64. Quiet Filing

  65. Quiet Period

  66. Registered Investment Advisor - RIA

  67. Registrar

  68. Regulation A

  69. Regulation D - Reg D

  70. Regulation Fair Disclosure - Reg FD

  71. Regulation G

  72. Regulation M

  73. Regulation NMS

  74. Regulation Q

  75. Regulation SHO

  76. Regulation T - Reg T

  77. Regulation U

  78. Regulation Z

  79. Regulatory Risk

  80. Requisitioned Property

  81. Rescission

  82. Resident Alien

  83. Restatement

  84. Retired Securities

  85. Riba

  86. Riskless Principal

  87. Rule 10b-18

  88. Rule 10b-5

  89. Rule 144

  90. Rule 144A

  91. Rule 147

  92. Rules Of Fair Practice

  93. S-3 Filing

  94. S-8 Filing

  95. SEC Fee

  96. SEC Form 1-A

  97. SEC Form 10-Q

  98. SEC Form 13F

  99. SEC Form 2-A

  100. SEC Form CB

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