Definitions tagged as

Laws & Regulation

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  1. FINRA BrokerCheck

  2. SEC Form 35-APP

  3. SEC Form PX14A6G

  4. SEC Form DEFM14C

  5. SEC Form DEFS14C

  6. SEC Form PREM14C

  7. SEC Form PRES14C

  8. SEC Form T-1

  9. SEC Form T-2

  10. SEC Form T-3

  11. SEC Form U-13-1

  12. SEC Form U-13-60

  13. SEC Form U-13E-1

  14. SEC Form U-33-S

  15. SEC Form U-57

  16. SEC Form U-6B-2

  17. SEC Form U-7D

  18. Adequate Notice

  19. SEC Form 10-KT405

  20. SEC Form NT 10-K

  21. SEC Form 10-K405

  22. SEC Form 11-KT

  23. SEC Form NT-NSAR

  24. 10-K Wrap

  25. 19c3 Stock

  26. 3C1

  27. 3C7

  28. ADV Form

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

  30. Administrator

  31. Affidavit Of Loss

  32. Affirmative Obligation

  33. All-Holders Rule

  34. Alternative Trading System - ATS

  35. American Jobs Creation Act Of 2004

  36. Anti-Reciprocal Rule

  37. Article 9

  38. Attachment

  39. Attestation

  40. Attorney In Fact

  41. Attribution Rules

  42. Audit Trail

  43. Authorized Investment

  44. Backing Away

  45. Bank Restriction Act of 1797

  46. Bank Secrecy Act - BSA

  47. Banking And Securities Industry Committee - BASIC

  48. Banking Department

  49. Basel Accord

  50. Basel I

  51. Basel II

  52. Best Bid

  53. Best Practices

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

  55. Blue Sheets

  56. Boilerplate

  57. Brochure Rule

  58. Canadian Capital Markets Association - CCMA

  59. Canadian Securities Administrators - CSA

  60. Capital Market Line - CML

  61. Cash Flow Statement

  62. Chapter 9

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

  64. China Securities Regulatory Commission - CSRC

  65. Civil Money Penalty - CMP

  66. Clearing House Electronic Subregister System - CHESS

  67. Close Period

  68. Closed-Market Transaction

  69. Cloud On Title

  70. Community Property

  71. Community Reinvestment Act - CRA

  72. Compliance Department

  73. Confidential Treatment Application

  74. Consolidated Omnibus Budget Reconciliation Act - COBRA

  75. Corporate Charter

  76. Covered Security

  77. Customer Relationship Management - CRM

  78. Deed

  79. Deficiency Letter

  80. Delaware Corporation

  81. Delayed Draw Term Loan

  82. Demand Guarantee

  83. Deregulation

  84. Disclosure

  85. Dividend Drag

  86. Duty

  87. Effective Date

  88. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  89. Emergency Banking Act Of 1933

  90. Escrow Agreement

  91. Exempt Transaction

  92. Fair Funds for Investors

  93. Federal Covered Advisor

  94. Financial Industry Regulatory Authority - FINRA

  95. Food And Drug Administration - FDA

  96. Form 144

  97. Form 3

  98. Form 4

  99. Form 5

  100. Form T

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