Definitions tagged as

Laws & Regulation

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  1. Corporate Financing Committee

  2. Covered Security

  3. Customer Relationship Management - CRM

  4. De Jure Corporation

  5. Deed

  6. Default Judgment

  7. Deficiency Letter

  8. Del Credere Agency

  9. Delaware Corporation

  10. Delayed Draw Term Loan

  11. Demand Guarantee

  12. Demand Letter

  13. Depository Institutions Act of 1982

  14. Depository Institutions Deregulation Committee – DIDC

  15. Deregulation

  16. Design Patent

  17. Dirks Test

  18. Disclosure

  19. Dividend Drag

  20. Division Of Enforcement

  21. Dodd-Frank Wall Street Reform and Consumer Protection Act

  22. Douglas Amendment

  23. Dual Banking System

  24. Durbin Amendment

  25. Duty

  26. Earnings Management

  27. Effective Date

  28. Electronic Benefit Transfer - EBT

  29. Electronic Blue Sheet - EBS

  30. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  31. Electronic Funds Transfer Act

  32. Emergency Banking Act Of 1933

  33. Employer Identification Number - EIN

  34. Energy Resources Conservation Board - ERCB

  35. Engagement Letter

  36. Environmental Impact Statement

  37. Environmental Protection Agency (EPA)

  38. Equal Employment Opportunity Commission - EEOC

  39. Equitable Relief

  40. Erroneous Trade

  41. Escrow Agreement

  42. Estoppel

  43. European Best Bid And Offer - EBBO

  44. Excess Loans

  45. Exchange Fees

  46. Exculpatory Clause

  47. Exempt Transaction

  48. Facilitating Payment

  49. Fair Debt Collection Practices Act - FDCPA

  50. Fair Funds for Investors

  51. Federal Covered Advisor

  52. Federal Energy Regulatory Commission - FERC

  53. Federal Reserve Regulations

  54. Financial Action Task Force (FATF)

  55. Financial Industry Regulatory Authority - FINRA

  56. Financial Institutions Regulatory Act

  57. Financial Privacy

  58. Financial Responsibility Law

  59. Financial Services Modernization Act Of 1999

  60. FINRA BrokerCheck

  61. First To File Rule

  62. Floating Lien

  63. Food And Drug Administration - FDA

  64. Foreign Bank Supervision Enhancement Act - FBSEA

  65. Foreign Corrupt Practices Act

  66. Foreign Qualification

  67. Form 144

  68. Form 3

  69. Form 4

  70. Form 5

  71. Form T

  72. Full Disclosure

  73. Functional Regulation

  74. Glass-Steagall Act

  75. Green Card

  76. Guardian

  77. Handelsgesetzbuch - HGB

  78. Hell or High Water Contract

  79. Hold Harmless Clause

  80. Hospital Visitation Authorization

  81. Immediate Family

  82. Implied Authority

  83. Implied Contract Terms

  84. Incorporation

  85. Incorporeal Rights

  86. Insider

  87. Insider Buying

  88. Insider Information

  89. Insider Trading

  90. Insider Trading Act of 1988

  91. Insider Trading Sanctions Act Of 1984

  92. Insured Financial Institution

  93. International Banking Act of 1978

  94. International Organization Of Securities Commissions - IOSCO

  95. International Securities Exchange - ISE

  96. Intrastate Offering

  97. Investment Advisors Act Of 1940

  98. Investment Industry Regulatory Organization of Canada - IIROC

  99. Investor Protection Act

  100. IPO Lock-Up

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