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. Bank Restriction Act of 1797

  44. Bank Secrecy Act - BSA

  45. Banking And Securities Industry Committee - BASIC

  46. Banking Department

  47. Basel Accord

  48. Basel I

  49. Basel II

  50. Best Bid

  51. Best Practices

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

  53. Bilateral Credit Limit

  54. Blue Sheets

  55. Boilerplate

  56. Bona Vacantia

  57. British Columbia Securities Commission

  58. Broad Evidence Rule

  59. Brochure Rule

  60. Building Permits

  61. Bundle Of Rights

  62. Business Ethics

  63. Canadian Capital Markets Association - CCMA

  64. Canadian Council Of Insurance Regulators - CCIR 

  65. Canadian Securities Administrators - CSA

  66. Capital Market Line - CML

  67. Cash Flow Statement

  68. Central Registration Depository (CRD)

  69. Chapter 9

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

  71. Child Support

  72. China Securities Regulatory Commission - CSRC

  73. Civil Damages

  74. Civil Money Penalty - CMP

  75. Clearing House Electronic Subregister System - CHESS

  76. Close Period

  77. Closed-Market Transaction

  78. Cloud On Title

  79. Commercial Code

  80. Commissioner Of Banking

  81. Committee On Payment And Settlement Systems - CPSS

  82. Community Property

  83. Community Reinvestment Act - CRA

  84. Compliance Department

  85. Compliance Examination

  86. Compliance Program

  87. Conditionality

  88. Confession Of Judgment

  89. Confidential Treatment Application

  90. Congress

  91. Consolidated Omnibus Budget Reconciliation Act - COBRA

  92. Construction Lien

  93. Consumer Financial Protection Bureau - CFPB

  94. Continuation Statement

  95. Corporate Charter

  96. Corporate Financing Committee

  97. Covered Security

  98. Customer Relationship Management - CRM

  99. De Jure Corporation

  100. Deed

Hot Definitions
  1. Private Equity

    Equity capital that is not quoted on a public exchange. Private equity consists of investors and funds that make investments directly into private companies or conduct buyouts of public companies that result in a delisting of public equity.
  2. Valuation

    The process of determining the current worth of an asset or company. There are many techniques that can be used to determine value, some are subjective and others are objective.
  3. Valuation

    The process of determining the current worth of an asset or company. There are many techniques that can be used to determine value, some are subjective and others are objective.
  4. Tech Street

    A term used in the financial markets and the press to refer to the technology sector. Companies like Intel, Microsoft, Apple and Dell are all considered to be part of Tech Street.
  5. Tech Street

    A term used in the financial markets and the press to refer to the technology sector. Companies like Intel, Microsoft, Apple and Dell are all considered to be part of Tech Street.
  6. Momentum Investing

    An investment strategy that aims to capitalize on the continuance of existing trends in the market. The momentum investor believes that large increases in the price of a security will be followed by additional gains and vice versa for declining values.
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