Laws and Regulations Terms

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  1. Securities Fraud

  2. Securities Industry Regulatory Authority - SIRA

  3. Securities Investor Protection Corporation - SIPC

  4. SEC Yield

  5. Self-Regulatory Organization - SRO

  6. Senate Bill

  7. Senior Registered Options Principal - SROP

  8. Sharia

  9. Shelf Offering

  10. Shelf Registration

  11. Short-Sale Rule

  12. Short-Swing Profit Rule

  13. Sick Industrial Companies Act (SICA)

  14. Slow Loan

  15. Smart Money

  16. Social Host Liability

  17. Special Economic Zone - SEZ

  18. Sponsor

  19. Stability And Growth Pact - SGP

  20. Staggers Act

  21. State Administrator

  22. Statutory Debt Limit

  23. Step-Out Trading

  24. Stop Trading On Congressional Knowledge Act - STOCK Act

  25. Sub-Pennying

  26. Sukuk

  27. Sunshine Laws

  28. Suspended Trading

  29. Swap Dealer

  30. System for Electronic Document Analysis and Retrieval - SEDAR

  31. Tape Reading

  32. Taping Rule

  33. Telecommunications Consumer Protection Act of 1991 - TCPA

  34. The Coinage Act Of 1792

  35. The Jones Act

  36. Threshold List

  37. Tier 1 Leverage Ratio

  38. Tip From A Dip

  39. Tipping

  40. Trade Reporting And Compliance Engine - TRACE

  41. Trading Ahead

  42. Trading Authorization

  43. Triggering Event

  44. Trust Indenture Act of 1939

  45. Trust Receipt

  46. TSA PreCheck

  47. Two-Sided Market

  48. Ultra Vires Acts

  49. Unauthorized Investment

  50. Unfair Claims Practice

  51. Uniform Business Rate

  52. Uniform Commercial Code

  53. Uniform Prudent Investor Act - UPIA

  54. Uniform Securities Act

  55. Uniform Simultaneous Death Act

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

  57. Universal Market Integrity Rules - UMIR

  58. Unlisted Trading Privileges - UTP

  59. Unsubordinated Debt

  60. Uptick Rule

  61. USA Patriot Act

  62. Usury Laws

  63. Utility Patent

  64. Waiting Period

  65. Wash

  66. Wash-Sale Rule

  67. Wash Trading

  68. Welfare Capitalism

  69. Well's Notice

  70. Whisper Number

  71. Whistleblower

  72. White-Collar Crime

  73. Wildcatting

  74. Williams Act

  75. Zero Minus Tick

  76. Zero Plus Tick

  77. Zombie Titles

  78. Zoning

  79. Zoning Ordinance

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