Laws and Regulations Terms

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  1. 3C7

  2. Affidavit Of Loss

  3. Affirmative Obligation

  4. All-Holders Rule

  5. American Jobs Creation Act Of 2004

  6. Attribution Rules

  7. Bank Restriction Act of 1797

  8. Banking Department

  9. Basel I

  10. Basel II

  11. Best Bid

  12. Best-Price Rule - Rule 14D-10

  13. Blue Sheets

  14. Boilerplate

  15. Canadian Securities Administrators - CSA

  16. Clearing House Electronic Subregister System - CHESS

  17. Community Property

  18. Consolidated Omnibus Budget Reconciliation Act - COBRA

  19. Deed

  20. Deficiency Letter

  21. Delaware Corporation

  22. Demand Guarantee

  23. Duty

  24. Effective Date

  25. Emergency Banking Act Of 1933

  26. Escrow Agreement

  27. Hell or High Water Contract

  28. Immediate Family

  29. Incorporation

  30. Katie Couric Clause

  31. Large Trader

  32. Liquidated Damages

  33. Locked Market

  34. Maintenance Margin

  35. Material Insider Information

  36. Misappropriation Theory

  37. Non-Negotiable

  38. Office Of Thrift Supervision - OTS

  39. Organic Act of the Department of Labor

  40. Patent

  41. Power Of Attorney

  42. Regulation D - Reg D

  43. Regulation Fair Disclosure - Reg FD

  44. Regulation NMS

  45. Regulation SHO

  46. Regulation T - Reg T

  47. Regulation U

  48. Regulation Z

  49. Requisitioned Property

  50. Riba

  51. Rule 10b-18

  52. Rule 10b-5

  53. SEC Form 10-Q

  54. SEC Form 2-A

  55. SEC Form CB

  56. SEC Form D

  57. SEC Form F-1

  58. SEC Release IA-1092

  59. Sales And Purchase Agreement - SPA

  60. Schedule 13D

  61. Securities And Exchange Board Of India - SEBI

  62. Securities Investor Protection Corporation - SIPC

  63. Short-Sale Rule

  64. Special Economic Zone - SEZ

  65. Step-Out Trading

  66. Sukuk

  67. Threshold List

  68. Trade Reporting And Compliance Engine - TRACE

  69. Trading Authorization

  70. Triggering Event

  71. Trust Indenture Act of 1939

  72. Universal Market Integrity Rules - UMIR

  73. Unsubordinated Debt

  74. Waiting Period

  75. Wash

  76. Whistleblower

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