Laws and Regulations Terms

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  1. SEC Schedule 13E-3

  2. Section 12D-1 Limit

  3. Section 16

  4. Securities Act Of 1933

  5. Securities And Exchange Board Of India - SEBI

  6. Securities And Exchange Commission - SEC

  7. Securities Exchange Act Of 1934

  8. Securities Fraud

  9. Securities Industry Regulatory Authority - SIRA

  10. Securities Investor Protection Corporation - SIPC

  11. SEC Yield

  12. Self-Regulatory Organization - SRO

  13. Senate Bill

  14. Senior Registered Options Principal - SROP

  15. Sharia

  16. Shelf Offering

  17. Shelf Registration

  18. Short-Sale Rule

  19. Short-Swing Profit Rule

  20. Sick Industrial Companies Act (SICA)

  21. Slander

  22. Slow Loan

  23. Smart Money

  24. Social Host Liability

  25. Special Economic Zone - SEZ

  26. Sponsor

  27. Stability And Growth Pact - SGP

  28. Staggers Act

  29. State Administrator

  30. Statutory Debt Limit

  31. Step-Out Trading

  32. Stop Trading On Congressional Knowledge Act - STOCK Act

  33. Sub-Pennying

  34. Sukuk

  35. Sunshine Laws

  36. Suspended Trading

  37. Swap Dealer

  38. System for Electronic Document Analysis and Retrieval - SEDAR

  39. Tape Reading

  40. Taping Rule

  41. Telecommunications Consumer Protection Act of 1991 - TCPA

  42. The Coinage Act Of 1792

  43. The Jones Act

  44. Threshold List

  45. Tier 1 Leverage Ratio

  46. Tip From A Dip

  47. Tipping

  48. Trade Reporting And Compliance Engine - TRACE

  49. Trading Ahead

  50. Trading Authorization

  51. Triggering Event

  52. Trust Indenture Act of 1939

  53. Trust Receipt

  54. TSA PreCheck

  55. Two-Sided Market

  56. U.S. Department of Health and Human Services (HHS)

  57. Ultra Vires Acts

  58. Unauthorized Investment

  59. Unfair Claims Practice

  60. Uniform Business Rate

  61. Uniform Commercial Code

  62. Uniform Prudent Investor Act - UPIA

  63. Uniform Securities Act

  64. Uniform Simultaneous Death Act

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

  66. Universal Market Integrity Rules - UMIR

  67. Unlisted Trading Privileges - UTP

  68. Unsubordinated Debt

  69. Uptick Rule

  70. USA Patriot Act

  71. Usury Laws

  72. Utility Patent

  73. Waiting Period

  74. Wash

  75. Wash-Sale Rule

  76. Wash Trading

  77. Welfare Capitalism

  78. Well's Notice

  79. Whisper Number

  80. Whistleblower

  81. White-Collar Crime

  82. Wildcatting

  83. Williams Act

  84. Zero Minus Tick

  85. Zero Plus Tick

  86. Zombie Title

  87. Zoning

  88. Zoning Ordinance

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