Laws and Regulations Terms

  1. SEC Form U-13-60

  2. SEC Form U-13E-1

  3. SEC Form U-33-S

  4. SEC Form U-3A-2

  5. SEC Form U-3A3-1

  6. SEC Form U-57

  7. SEC Form U-5S

  8. SEC Form U-6B-2

  9. SEC Form U-7D

  10. SEC Form U-9C-3

  11. SEC Form U-R-1

  12. SEC Form U5A

  13. SEC Form U5B

  14. SEC Form X-15AJ-1

  15. SEC Form X-15AJ-2

  16. SEC Form X-17A-5

  17. SEC MEF Filings

  18. SEC Release IA-1092

  19. SEC RW Filing

  20. SEC Schedule 13D

  21. SEC Schedule 13E-3

  22. Secondary Liability

  23. Section 12D-1 Limit

  24. Section 16

  25. Securities And Exchange Board Of India - SEBI

  26. Securities And Futures Commission - SFC

  27. Securities Fraud

  28. Series 14

  29. Series 23

  30. Series 28

  31. Series 39

  32. Series 52

  33. Series 53

  34. Series 62

  35. Series 66

  36. Set-Off Clause

  37. Sherman Antitrust Act

  38. Short Exempt

  39. Short Tender

  40. Short-Swing Profit Rule

  41. Small Business Job Protection Act Of 1996

  42. Small Corporate Offering Registration - SCOR

  43. Smoot-Hawley Tariff Act

  44. Social Host Liability

  45. Social Security Administration - SSA

  46. Staggers Act

  47. Stare Decisis

  48. State Administrator

  49. Statute of Frauds

  50. Statute Of Limitations

  51. Stop Trading On Congressional Knowledge Act - STOCK Act

  52. Subordination Agreement

  53. Substantial Gainful Activity - SGA

  54. Sunset Provision

  55. Suspended Trading

  56. Suspicious Activity Report - SAR

  57. Tariff War

  58. Tax Increase Prevention and Reconciliation Act of 2005 - TIPRA

  59. Tax Reform Act Of 1993

  60. Taxpayer Relief Act Of 1997

  61. Telecommunications Consumer Protection Act of 1991 - TCPA

  62. Termination Clause

  63. Termination Event

  64. The Celler-Kefauver Act

  65. The Coinage Act Of 1792

  66. The Jones Act

  67. Third-Party Beneficiary

  68. Threshold List

  69. Trade Act Of 1974

  70. Trade Reporting And Compliance Engine - TRACE

  71. Transfer On Death - TOD

  72. Transfer Procedures

  73. Treasury Secretary

  74. Treble Damages

  75. Troubled Asset Relief Program - TARP

  76. Trust Indenture Act of 1939

  77. U.S. House Financial Services Committee

  78. Uberrimae Fidei Contract

  79. Underwriters Laboratories - UL

  80. Undue Influence

  81. Unemployment Compensation Amendment Of 1992

  82. Unemployment Insurance

  83. Unfair Trade Practice

  84. Uniform Bill Of Lading

  85. Uniform Commercial Code

  86. Uniform Consumer Credit Code - UCCC

  87. Uniform Partnership Act - UPA

  88. Uniform Premarital Agreement Act

  89. Uniform Simultaneous Death Act

  90. Unilateral Contract

  91. Unintentional Tort

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

  93. Unofficial Strike

  94. Urban Development Act Of 1970

  95. USA Patriot Act

  96. Use And Occupancy - U&O

  97. Usufruct

  98. Usury Laws

  99. Valued Policy Law - VPL

  100. Vis Major

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