Definitions tagged as

Laws & Regulation

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  1. SEC Form DEFM14C

  2. SEC Form DEFS14C

  3. SEC Form PREM14C

  4. SEC Form PRES14C

  5. SEC Form T-1

  6. SEC Form T-2

  7. SEC Form T-3

  8. SEC Form U-13-1

  9. SEC Form U-13-60

  10. SEC Form U-13E-1

  11. SEC Form U-33-S

  12. SEC Form U-57

  13. SEC Form U-6B-2

  14. SEC Form U-7D

  15. Adequate Notice

  16. SEC Form 10-KT405

  17. SEC Form NT 10-K

  18. SEC Form 10-K405

  19. SEC Form 11-KT

  20. SEC Form NT-NSAR

  21. 10-K Wrap

  22. 19c3 Stock

  23. 3C1

  24. 3C7

  25. ADV Form

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

  27. Administrator

  28. Affidavit Of Loss

  29. Affirmative Obligation

  30. All-Holders Rule

  31. Alternative Trading System - ATS

  32. American Jobs Creation Act Of 2004

  33. Anti-Reciprocal Rule

  34. Article 9

  35. Attachment

  36. Attestation

  37. Attorney In Fact

  38. Attribution Rules

  39. Audit Trail

  40. Authorized Investment

  41. Backing Away

  42. Bank Restriction Act of 1797

  43. Bank Secrecy Act - BSA

  44. Banking And Securities Industry Committee - BASIC

  45. Banking Department

  46. Basel Accord

  47. Basel I

  48. Basel II

  49. Best Bid

  50. Best Practices

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

  52. Blue Sheets

  53. Boilerplate

  54. Brochure Rule

  55. Canadian Capital Markets Association - CCMA

  56. Canadian Securities Administrators - CSA

  57. Capital Market Line - CML

  58. Cash Flow Statement

  59. Chapter 9

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

  61. China Securities Regulatory Commission - CSRC

  62. Civil Money Penalty - CMP

  63. Clearing House Electronic Subregister System - CHESS

  64. Close Period

  65. Closed-Market Transaction

  66. Cloud On Title

  67. Community Property

  68. Community Reinvestment Act - CRA

  69. Compliance Department

  70. Confidential Treatment Application

  71. Consolidated Omnibus Budget Reconciliation Act - COBRA

  72. Corporate Charter

  73. Covered Security

  74. Customer Relationship Management - CRM

  75. Deed

  76. Deficiency Letter

  77. Delaware Corporation

  78. Delayed Draw Term Loan

  79. Demand Guarantee

  80. Deregulation

  81. Disclosure

  82. Dividend Drag

  83. Duty

  84. Effective Date

  85. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  86. Emergency Banking Act Of 1933

  87. Escrow Agreement

  88. Exempt Transaction

  89. Fair Funds for Investors

  90. Federal Covered Advisor

  91. Financial Industry Regulatory Authority - FINRA

  92. Food And Drug Administration - FDA

  93. Form 144

  94. Form 3

  95. Form 4

  96. Form 5

  97. Form T

  98. Full Disclosure

  99. Guardian

  100. Handelsgesetzbuch - HGB

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