Laws and Regulations Terms

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  1. Secondary Liability

  2. SEC POS AM Filing

  3. SEC Release IA-1092

  4. SEC RW Filing

  5. SEC Schedule 13D

  6. SEC Schedule 13E-3

  7. Section 12D-1 Limit

  8. Section 16

  9. Securities Act Of 1933

  10. Securities And Exchange Board Of India - SEBI

  11. Securities And Exchange Commission - SEC

  12. Securities Exchange Act Of 1934

  13. Securities Fraud

  14. Securities Industry Regulatory Authority - SIRA

  15. Securities Investor Protection Corporation - SIPC

  16. SEC Yield

  17. Self-Regulatory Organization - SRO

  18. Senate Bill

  19. Senior Registered Options Principal - SROP

  20. Sharia

  21. Shelf Offering

  22. Shelf Registration

  23. Short-Sale Rule

  24. Short-Swing Profit Rule

  25. Sick Industrial Companies Act (SICA)

  26. Slander

  27. Slow Loan

  28. Smart Money

  29. Social Host Liability

  30. Special Economic Zone - SEZ

  31. Sponsor

  32. Stability And Growth Pact - SGP

  33. Staggers Act

  34. State Administrator

  35. Statutory Debt Limit

  36. Step-Out Trading

  37. Stop Trading On Congressional Knowledge Act - STOCK Act

  38. Sub-Pennying

  39. Sukuk

  40. Sunshine Laws

  41. Suspended Trading

  42. Swap Dealer

  43. System for Electronic Document Analysis and Retrieval - SEDAR

  44. Tape Reading

  45. Taping Rule

  46. Telecommunications Consumer Protection Act of 1991 - TCPA

  47. The Coinage Act Of 1792

  48. The Jones Act

  49. Threshold List

  50. Tier 1 Leverage Ratio

  51. Tip From A Dip

  52. Tipping

  53. Trade Reporting And Compliance Engine - TRACE

  54. Trading Ahead

  55. Trading Authorization

  56. Triggering Event

  57. Trust Indenture Act of 1939

  58. Trust Receipt

  59. TSA PreCheck

  60. Two-Sided Market

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

  62. Ultra Vires Acts

  63. Unauthorized Investment

  64. Unfair Claims Practice

  65. Uniform Business Rate

  66. Uniform Commercial Code

  67. Uniform Prudent Investor Act - UPIA

  68. Uniform Securities Act

  69. Uniform Simultaneous Death Act

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

  71. Universal Market Integrity Rules - UMIR

  72. Unlisted Trading Privileges - UTP

  73. Unsubordinated Debt

  74. Uptick Rule

  75. USA Patriot Act

  76. Usury Laws

  77. Utility Patent

  78. Waiting Period

  79. Wash

  80. Wash-Sale Rule

  81. Wash Trading

  82. Well's Notice

  83. Whisper Number

  84. Whistleblower

  85. White-Collar Crime

  86. Wildcatting

  87. Williams Act

  88. Zero Minus Tick

  89. Zero Plus Tick

  90. Zombie Title

  91. Zoning

  92. Zoning Ordinance

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