Laws and Regulations Terms

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  1. Securities Investor Protection Corporation - SIPC

  2. SEC Yield

  3. Self-Regulatory Organization - SRO

  4. Senate Bill

  5. Senior Registered Options Principal - SROP

  6. Sharia

  7. Shelf Offering

  8. Shelf Registration

  9. Short-Sale Rule

  10. Short-Swing Profit Rule

  11. Sick Industrial Companies Act (SICA)

  12. Slow Loan

  13. Smart Money

  14. Social Host Liability

  15. Special Economic Zone - SEZ

  16. Sponsor

  17. Stability And Growth Pact - SGP

  18. Staggers Act

  19. State Administrator

  20. Statutory Debt Limit

  21. Step-Out Trading

  22. Stop Trading On Congressional Knowledge Act - STOCK Act

  23. Sub-Pennying

  24. Sukuk

  25. Sunshine Laws

  26. Suspended Trading

  27. Swap Dealer

  28. System for Electronic Document Analysis and Retrieval - SEDAR

  29. Tape Reading

  30. Taping Rule

  31. Telecommunications Consumer Protection Act of 1991 - TCPA

  32. The Coinage Act Of 1792

  33. The Jones Act

  34. Threshold List

  35. Tier 1 Leverage Ratio

  36. Tip From A Dip

  37. Tipping

  38. Trade Reporting And Compliance Engine - TRACE

  39. Trading Ahead

  40. Trading Authorization

  41. Triggering Event

  42. Trust Indenture Act of 1939

  43. Trust Receipt

  44. Two-Sided Market

  45. Ultra Vires Acts

  46. Unauthorized Investment

  47. Unfair Claims Practice

  48. Uniform Business Rate

  49. Uniform Commercial Code

  50. Uniform Prudent Investor Act - UPIA

  51. Uniform Securities Act

  52. Uniform Simultaneous Death Act

  53. United States V. The South-Eastern Underwriter Association

  54. Universal Market Integrity Rules - UMIR

  55. Unlisted Trading Privileges - UTP

  56. Unsubordinated Debt

  57. Uptick Rule

  58. USA Patriot Act

  59. Usury Laws

  60. Utility Patent

  61. Waiting Period

  62. Wash

  63. Wash-Sale Rule

  64. Wash Trading

  65. Welfare Capitalism

  66. Well's Notice

  67. Whisper Number

  68. Whistleblower

  69. White-Collar Crime

  70. Wildcatting

  71. Williams Act

  72. Zero Minus Tick

  73. Zero Plus Tick

  74. Zombie Titles

  75. Zoning

  76. Zoning Ordinance

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