Laws and Regulations Terms

  1. 10-K Wrap

  2. 19c3 Stock

  3. 3C1

  4. 3C7

  5. 500 Investor Rule

  6. Accounting and Auditing Organization for Islamic Financial Institutions - AAOIFI

  7. Accounting Series Releases - ASRs

  8. Adequate Notice

  9. Adjustment Bureau

  10. Administrative Law

  11. Administrator

  12. ADV Form

  13. Adware

  14. Affidavit Of Loss

  15. Affirmative Action

  16. Affirmative Obligation

  17. Agency By Necessity

  18. Alberta Securities Commission - ASC

  19. Alimony Payment

  20. All-Holders Rule

  21. Alternative Trading System - ATS

  22. Amendment

  23. American Clean Energy And Security Act Of 2009

  24. American Jobs Creation Act Of 2004

  25. American Rule

  26. Americans With Disabilities Act - ADA

  27. Anti-Boycott Regulations

  28. Anti-Reciprocal Rule

  29. Appurtenance

  30. Article 9

  31. ASC X12

  32. ASC X9

  33. Assignor

  34. Attachment

  35. Attestation

  36. Attorney In Fact

  37. Attorney's Fee Awards

  38. Attorney's Letter

  39. Attribution Rules

  40. Audit Trail

  41. Authorized Investment

  42. Backing Away

  43. Baked In The Cake

  44. Bank Restriction Act of 1797

  45. Bank Secrecy Act - BSA

  46. Banking And Securities Industry Committee - BASIC

  47. Banking Department

  48. Basel Accord

  49. Basel I

  50. Basel II

  51. Best Bid

  52. Best Practices

  53. Best-Price Rule - Rule 14D-10

  54. Bilateral Credit Limit

  55. Blue Sheets

  56. Boilerplate

  57. Bona Vacantia

  58. British Columbia Securities Commission

  59. Broad Evidence Rule

  60. Brochure Rule

  61. Building Permits

  62. Bundle Of Rights

  63. Business Ethics

  64. Canadian Capital Markets Association - CCMA

  65. Canadian Council Of Insurance Regulators - CCIR 

  66. Canadian Securities Administrators - CSA

  67. Capital Market Line - CML

  68. Cash Flow Statement

  69. Central Registration Depository (CRD)

  70. Chapter 9

  71. Check Clearing For The 21st Century Act - Check 21

  72. Child Support

  73. China Securities Regulatory Commission - CSRC

  74. Civil Damages

  75. Civil Money Penalty - CMP

  76. Clearing House Electronic Subregister System - CHESS

  77. Close Period

  78. Closed-Market Transaction

  79. Cloud On Title

  80. Commercial Code

  81. Commissioner Of Banking

  82. Committee On Payment And Settlement Systems - CPSS

  83. Community Property

  84. Community Reinvestment Act - CRA

  85. Compliance Department

  86. Compliance Examination

  87. Compliance Program

  88. Conditionality

  89. Confession Of Judgment

  90. Confidential Treatment Application

  91. Congress

  92. Consolidated Omnibus Budget Reconciliation Act - COBRA

  93. Construction Lien

  94. Consumer Financial Protection Bureau - CFPB

  95. Continuation Statement

  96. Corporate Charter

  97. Corporate Financing Committee

  98. Covered Security

  99. Customer Relationship Management - CRM

  100. De Jure Corporation

Hot Definitions
  1. Pension Risk Transfer

    When a defined benefit pension provider offloads some or all of the plan’s risk – e.g.: retirement payment liabilities to former employee beneficiaries. The plan sponsor can do this by offering vested plan participants a lump-sum payment to voluntarily leave the plan, or by negotiating with an insurance company to take on the responsibility for paying benefits.
  2. XW

    A symbol used to signify that a security is trading ex-warrant. XW is one of many alphabetic qualifiers that act as a shorthand to tell investors key information about a specific security in a stock quote. These qualifiers should not be confused with ticker symbols, some of which, like qualifiers, are just one or two letters.
  3. Quanto Swap

    A swap with varying combinations of interest rate, currency and equity swap features, where payments are based on the movement of two different countries' interest rates. This is also referred to as a differential or "diff" swap.
  4. Genuine Progress Indicator - GPI

    A metric used to measure the economic growth of a country. It is often considered as a replacement to the more well known gross domestic product (GDP) economic indicator. The GPI indicator takes everything the GDP uses into account, but also adds other figures that represent the cost of the negative effects related to economic activity (such as the cost of crime, cost of ozone depletion and cost of resource depletion, among others).
  5. Accelerated Share Repurchase - ASR

    A specific method by which corporations can repurchase outstanding shares of their stock. The accelerated share repurchase (ASR) is usually accomplished by the corporation purchasing shares of its stock from an investment bank. The investment bank borrows the shares from clients or share lenders and sells them to the company.
  6. Microeconomic Pricing Model

    A model of the way prices are set within a market for a given good. According to this model, prices are set based on the balance of supply and demand in the market. In general, profit incentives are said to resemble an "invisible hand" that guides competing participants to an equilibrium price. The demand curve in this model is determined by consumers attempting to maximize their utility, given their budget.
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