Laws and Regulations Terms

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  1. Section 12D-1 Limit

  2. Section 16

  3. Securities Act Of 1933

  4. Securities And Exchange Board Of India - SEBI

  5. Securities And Exchange Commission - SEC

  6. Securities Exchange Act Of 1934

  7. Securities Fraud

  8. Securities Industry Regulatory Authority - SIRA

  9. Securities Investor Protection Corporation - SIPC

  10. SEC Yield

  11. Self-Regulatory Organization - SRO

  12. Senate Bill

  13. Senior Registered Options Principal - SROP

  14. Sharia

  15. Shelf Offering

  16. Shelf Registration

  17. Short-Sale Rule

  18. Short-Swing Profit Rule

  19. Sick Industrial Companies Act (SICA)

  20. Slander

  21. Slow Loan

  22. Smart Money

  23. Social Host Liability

  24. Special Economic Zone - SEZ

  25. Sponsor

  26. Stability And Growth Pact - SGP

  27. Staggers Act

  28. State Administrator

  29. Statutory Debt Limit

  30. Step-Out Trading

  31. Stop Trading On Congressional Knowledge Act - STOCK Act

  32. Sub-Pennying

  33. Sukuk

  34. Sunshine Laws

  35. Suspended Trading

  36. Swap Dealer

  37. System for Electronic Document Analysis and Retrieval - SEDAR

  38. Tape Reading

  39. Taping Rule

  40. Telecommunications Consumer Protection Act of 1991 - TCPA

  41. The Coinage Act Of 1792

  42. The Jones Act

  43. Threshold List

  44. Tier 1 Leverage Ratio

  45. Tip From A Dip

  46. Tipping

  47. Trade Reporting And Compliance Engine - TRACE

  48. Trading Ahead

  49. Trading Authorization

  50. Triggering Event

  51. Trust Indenture Act of 1939

  52. Trust Receipt

  53. TSA PreCheck

  54. Two-Sided Market

  55. Ultra Vires Acts

  56. Unauthorized Investment

  57. Unfair Claims Practice

  58. Uniform Business Rate

  59. Uniform Commercial Code

  60. Uniform Prudent Investor Act - UPIA

  61. Uniform Securities Act

  62. Uniform Simultaneous Death Act

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

  64. Universal Market Integrity Rules - UMIR

  65. Unlisted Trading Privileges - UTP

  66. Unsubordinated Debt

  67. Uptick Rule

  68. USA Patriot Act

  69. Usury Laws

  70. Utility Patent

  71. Waiting Period

  72. Wash

  73. Wash-Sale Rule

  74. Wash Trading

  75. Welfare Capitalism

  76. Well's Notice

  77. Whisper Number

  78. Whistleblower

  79. White-Collar Crime

  80. Wildcatting

  81. Williams Act

  82. Zero Minus Tick

  83. Zero Plus Tick

  84. Zombie Title

  85. Zoning

  86. Zoning Ordinance

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