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. Organic Growth

    The growth rate that a company can achieve by increasing output and enhancing sales. This excludes any profits or growth acquired from takeovers, acquisitions or mergers. Takeovers, acquisitions and mergers do not bring about profits generated within the company, and are therefore not considered organic.
  2. Family Limited Partnership - FLP

    A type of partnership designed to centralize family business or investment accounts. FLPs pool together a family's assets into one single family-owned business partnership that family members own shares of. FLPs are frequently used as an estate tax minimization strategy, as shares in the FLP can be transferred between generations, at lower taxation rates than would be applied to the partnership's holdings.
  3. Yield Burning

    The illegal practice of underwriters marking up the prices on bonds for the purpose of reducing the yield on the bond. This practice, referred to as "burning the yield," is done after the bond is placed in escrow for an investor who is awaiting repayment.
  4. Marginal Analysis

    An examination of the additional benefits of an activity compared to the additional costs of that activity. Companies use marginal analysis as a decision-making tool to help them maximize their profits. Individuals unconsciously use marginal analysis to make a host of everyday decisions. Marginal analysis is also widely used in microeconomics when analyzing how a complex system is affected by marginal manipulation of its comprising variables.
  5. Treasury Inflation Protected Securities - TIPS

    A treasury security that is indexed to inflation in order to protect investors from the negative effects of inflation. TIPS are considered an extremely low-risk investment since they are backed by the U.S. government and since their par value rises with inflation, as measured by the Consumer Price Index, while their interest rate remains fixed.
  6. Gilt-Edged Switching

    The selling and repurchasing of certain high-grade stocks or bonds to capture profits. Gilt-edged switching involves gilt-edged security, which can be high-grade stock or bond issued by a financially stable company such as the Blue Chip companies or by certain governments.
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