Laws and Regulations Terms

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  1. Securities And Exchange Commission - SEC

  2. Securities Exchange Act Of 1934

  3. Securities Fraud

  4. Securities Industry Regulatory Authority - SIRA

  5. Securities Investor Protection Corporation - SIPC

  6. SEC Yield

  7. Self-Regulatory Organization - SRO

  8. Senate Bill

  9. Senior Registered Options Principal - SROP

  10. Sharia

  11. Shelf Offering

  12. Shelf Registration

  13. Short-Sale Rule

  14. Short-Swing Profit Rule

  15. Sick Industrial Companies Act (SICA)

  16. Slow Loan

  17. Smart Money

  18. Social Host Liability

  19. Special Economic Zone - SEZ

  20. Sponsor

  21. Stability And Growth Pact - SGP

  22. Staggers Act

  23. State Administrator

  24. Statutory Debt Limit

  25. Step-Out Trading

  26. Stop Trading On Congressional Knowledge Act - STOCK Act

  27. Sub-Pennying

  28. Sukuk

  29. Sunshine Laws

  30. Suspended Trading

  31. Swap Dealer

  32. System for Electronic Document Analysis and Retrieval - SEDAR

  33. Tape Reading

  34. Taping Rule

  35. Telecommunications Consumer Protection Act of 1991 - TCPA

  36. The Coinage Act Of 1792

  37. The Jones Act

  38. Threshold List

  39. Tier 1 Leverage Ratio

  40. Tip From A Dip

  41. Tipping

  42. Trade Reporting And Compliance Engine - TRACE

  43. Trading Ahead

  44. Trading Authorization

  45. Triggering Event

  46. Trust Indenture Act of 1939

  47. Trust Receipt

  48. TSA PreCheck

  49. Two-Sided Market

  50. Ultra Vires Acts

  51. Unauthorized Investment

  52. Unfair Claims Practice

  53. Uniform Business Rate

  54. Uniform Commercial Code

  55. Uniform Prudent Investor Act - UPIA

  56. Uniform Securities Act

  57. Uniform Simultaneous Death Act

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

  59. Universal Market Integrity Rules - UMIR

  60. Unlisted Trading Privileges - UTP

  61. Unsubordinated Debt

  62. Uptick Rule

  63. USA Patriot Act

  64. Usury Laws

  65. Utility Patent

  66. Waiting Period

  67. Wash

  68. Wash-Sale Rule

  69. Wash Trading

  70. Welfare Capitalism

  71. Well's Notice

  72. Whisper Number

  73. Whistleblower

  74. White-Collar Crime

  75. Wildcatting

  76. Williams Act

  77. Zero Minus Tick

  78. Zero Plus Tick

  79. Zombie Titles

  80. Zoning

  81. Zoning Ordinance

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