Laws and Regulations Terms

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  1. Securities Act Of 1933

  2. Securities And Exchange Board Of India - SEBI

  3. Securities And Exchange Commission - SEC

  4. Securities Exchange Act Of 1934

  5. Securities Fraud

  6. Securities Industry Regulatory Authority - SIRA

  7. Securities Investor Protection Corporation - SIPC

  8. SEC Yield

  9. Self-Regulatory Organization - SRO

  10. Senate Bill

  11. Senior Registered Options Principal - SROP

  12. Sharia

  13. Shelf Offering

  14. Shelf Registration

  15. Short-Sale Rule

  16. Short-Swing Profit Rule

  17. Sick Industrial Companies Act (SICA)

  18. Slow Loan

  19. Smart Money

  20. Social Host Liability

  21. Special Economic Zone - SEZ

  22. Sponsor

  23. Stability And Growth Pact - SGP

  24. Staggers Act

  25. State Administrator

  26. Statutory Debt Limit

  27. Step-Out Trading

  28. Stop Trading On Congressional Knowledge Act - STOCK Act

  29. Sub-Pennying

  30. Sukuk

  31. Sunshine Laws

  32. Suspended Trading

  33. Swap Dealer

  34. System for Electronic Document Analysis and Retrieval - SEDAR

  35. Tape Reading

  36. Taping Rule

  37. Telecommunications Consumer Protection Act of 1991 - TCPA

  38. The Coinage Act Of 1792

  39. The Jones Act

  40. Threshold List

  41. Tier 1 Leverage Ratio

  42. Tip From A Dip

  43. Tipping

  44. Trade Reporting And Compliance Engine - TRACE

  45. Trading Ahead

  46. Trading Authorization

  47. Triggering Event

  48. Trust Indenture Act of 1939

  49. Trust Receipt

  50. TSA PreCheck

  51. Two-Sided Market

  52. Ultra Vires Acts

  53. Unauthorized Investment

  54. Unfair Claims Practice

  55. Uniform Business Rate

  56. Uniform Commercial Code

  57. Uniform Prudent Investor Act - UPIA

  58. Uniform Securities Act

  59. Uniform Simultaneous Death Act

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

  61. Universal Market Integrity Rules - UMIR

  62. Unlisted Trading Privileges - UTP

  63. Unsubordinated Debt

  64. Uptick Rule

  65. USA Patriot Act

  66. Usury Laws

  67. Utility Patent

  68. Waiting Period

  69. Wash

  70. Wash-Sale Rule

  71. Wash Trading

  72. Welfare Capitalism

  73. Well's Notice

  74. Whisper Number

  75. Whistleblower

  76. White-Collar Crime

  77. Wildcatting

  78. Williams Act

  79. Zero Minus Tick

  80. Zero Plus Tick

  81. Zombie Titles

  82. Zoning

  83. Zoning Ordinance

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