Definitions tagged as

Laws & Regulation

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  1. 19c3 Stock

  2. 3C1

  3. ADV Form

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

  5. Administrator

  6. Alternative Trading System - ATS

  7. Attachment

  8. Attorney In Fact

  9. Audit Trail

  10. Backing Away

  11. Banking And Securities Industry Committee - BASIC

  12. Banking Department

  13. Basel Accord

  14. Best Practices

  15. Canadian Capital Markets Association - CCMA

  16. Chapter 9

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

  18. Clearing House Electronic Subregister System - CHESS

  19. Cloud On Title

  20. Covered Security

  21. Deed

  22. Deficiency Letter

  23. Deregulation

  24. Dividend Drag

  25. Effective Date

  26. Emergency Banking Act Of 1933

  27. Exempt Transaction

  28. Fair Funds for Investors

  29. Financial Industry Regulatory Authority - FINRA

  30. Food And Drug Administration - FDA

  31. Form 3

  32. Form 4

  33. Form 5

  34. Insider Trading

  35. International Organization Of Securities Commissions - IOSCO

  36. Islamic Financial Services Board - IFSB

  37. Judgment

  38. Legislative Overkill

  39. Letter Of Comment

  40. Listing Requirements

  41. Market Performance Committee

  42. Minimum-Interest Rules

  43. Misappropriation Theory

  44. Non-Disclosure Agreement - NDA

  45. Non-Resident

  46. Novation

  47. Open-Market Transaction

  48. Option Schedule

  49. Options Backdating

  50. Over-The-Counter Bulletin Board - OTCBB

  51. Pre-Syndicate Bid

  52. Preliminary Prospectus

  53. Pro-Tanto

  54. Prudent-Person Rule

  55. Registrar

  56. Regulation A

  57. Regulation D - Reg D

  58. Regulation Q

  59. Regulation T - Reg T

  60. Resident Alien

  61. Rule 10b-5

  62. Rule 144A

  63. Rule 147

  64. Rules Of Fair Practice

  65. SEC Fee

  66. SEC Form 1-A

  67. SEC Form 13F

  68. SEC Form D

  69. SEC Form F-3

  70. SEC Form F-4

  71. SEC Form F-6

  72. SEC Form F-80

  73. SEC Form F-N

  74. SEC Form F-X

  75. SEC Form S-11

  76. SEC Form S-2

  77. SEC Form S-4

  78. SEC Form S-6

  79. SEC Form S-8

  80. SEC Form SB-1

  81. Sales And Purchase Agreement - SPA

  82. Schedule 13D

  83. Securities Exchange Act Of 1934

  84. Securities Industry Regulatory Authority - SIRA

  85. Self-Regulatory Organization - SRO

  86. Sharia

  87. Shelf Offering

  88. Shelf Registration

  89. Short-Swing Profit Rule

  90. State Administrator

  91. Sunshine Laws

  92. Suspended Trading

  93. System for Electronic Document Analysis and Retrieval - SEDAR

  94. Tip From A Dip

  95. Tipping

  96. USA Patriot Act

  97. Uniform Securities Act

  98. Whisper Number

  99. Williams Act

  100. Zero Plus Tick

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