Laws and Regulations Terms

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  1. SEC Release IA-1092

  2. SEC RW Filing

  3. SEC Schedule 13D

  4. SEC Schedule 13E-3

  5. Section 12D-1 Limit

  6. Section 16

  7. Securities Act Of 1933

  8. Securities And Exchange Board Of India - SEBI

  9. Securities And Exchange Commission - SEC

  10. Securities Exchange Act Of 1934

  11. Securities Fraud

  12. Securities Industry Regulatory Authority - SIRA

  13. Securities Investor Protection Corporation - SIPC

  14. SEC Yield

  15. Self-Regulatory Organization - SRO

  16. Senate Bill

  17. Senior Registered Options Principal - SROP

  18. Sharia

  19. Shelf Offering

  20. Shelf Registration

  21. Short-Sale Rule

  22. Short-Swing Profit Rule

  23. Sick Industrial Companies Act (SICA)

  24. Slander

  25. Slow Loan

  26. Smart Money

  27. Social Host Liability

  28. Special Economic Zone - SEZ

  29. Sponsor

  30. Stability And Growth Pact - SGP

  31. Staggers Act

  32. State Administrator

  33. Statutory Debt Limit

  34. Step-Out Trading

  35. Stop Trading On Congressional Knowledge Act - STOCK Act

  36. Sub-Pennying

  37. Sukuk

  38. Sunshine Laws

  39. Suspended Trading

  40. Swap Dealer

  41. System for Electronic Document Analysis and Retrieval - SEDAR

  42. Tape Reading

  43. Taping Rule

  44. Telecommunications Consumer Protection Act of 1991 - TCPA

  45. The Coinage Act Of 1792

  46. The Jones Act

  47. Threshold List

  48. Tier 1 Leverage Ratio

  49. Tip From A Dip

  50. Tipping

  51. Trade Reporting And Compliance Engine - TRACE

  52. Trading Ahead

  53. Trading Authorization

  54. Triggering Event

  55. Trust Indenture Act of 1939

  56. Trust Receipt

  57. TSA PreCheck

  58. Two-Sided Market

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

  60. Ultra Vires Acts

  61. Unauthorized Investment

  62. Unfair Claims Practice

  63. Uniform Business Rate

  64. Uniform Commercial Code

  65. Uniform Prudent Investor Act - UPIA

  66. Uniform Securities Act

  67. Uniform Simultaneous Death Act

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

  69. Universal Market Integrity Rules - UMIR

  70. Unlisted Trading Privileges - UTP

  71. Unsubordinated Debt

  72. Uptick Rule

  73. USA Patriot Act

  74. Usury Laws

  75. Utility Patent

  76. Waiting Period

  77. Wash

  78. Wash-Sale Rule

  79. Wash Trading

  80. Well's Notice

  81. Whisper Number

  82. Whistleblower

  83. White-Collar Crime

  84. Wildcatting

  85. Williams Act

  86. Zero Minus Tick

  87. Zero Plus Tick

  88. Zombie Title

  89. Zoning

  90. Zoning Ordinance

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