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. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option is purchased and the lower premium option is sold - both at the same time. The higher the debit spread, the greater the initial cash outflow the investor will incur on the transaction.
  2. Odious Debt

    Money borrowed by one country from another country and then misappropriated by national rulers. A nation's debt becomes odious debt when government leaders use borrowed funds in ways that don't benefit or even oppress citizens. Some legal scholars argue that successor governments should not be held accountable for odious debt incurred by earlier regimes, but there is no consensus on how odious debt should actually be treated.
  3. Takeover

    A corporate action where an acquiring company makes a bid for an acquiree. If the target company is publicly traded, the acquiring company will make an offer for the outstanding shares.
  4. Harvest Strategy

    A strategy in which investment in a particular line of business is reduced or eliminated because the revenue brought in by additional investment would not warrant the expense. A harvest strategy is employed when a line of business is considered to be a cash cow, meaning that the brand is mature and is unlikely to grow if more investment is added.
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will be executed at a specified price (or better) after a given stop price has been reached. Once the stop price is reached, the stop-limit order becomes a limit order to buy (or sell) at the limit price or better.
  6. Pareto Principle

    A principle, named after economist Vilfredo Pareto, that specifies an unequal relationship between inputs and outputs. The principle states that, for many phenomena, 20% of invested input is responsible for 80% of the results obtained. Put another way, 80% of consequences stem from 20% of the causes.
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