Definitions tagged as

Laws & Regulation

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  1. Hell or High Water Contract

  2. IPO Lock-Up

  3. Immediate Family

  4. Incorporation

  5. Insider

  6. Insider Information

  7. Insider Trading

  8. International Organization Of Securities Commissions - IOSCO

  9. International Securities Exchange - ISE

  10. Intrastate Offering

  11. Investment Advisors Act Of 1940

  12. Islamic Financial Services Board - IFSB

  13. Japan Association Of Securities Dealers Automated Quotation - Jasdaq

  14. Judgment

  15. Katie Couric Clause

  16. Large Trader

  17. Legend

  18. Legislative Overkill

  19. Letter Of Comment

  20. Limited Power Of Attorney - LPOA

  21. Liquidated Damages

  22. Listing Requirements

  23. Locked Market

  24. Loophole

  25. Maintenance Margin

  26. Market Performance Committee

  27. Markets in Financial Instruments Directive - MiFID

  28. Material Insider Information

  29. Minimum-Interest Rules

  30. Misappropriation Theory

  31. National Association Of Securities Dealers - NASD

  32. National Treatment

  33. Nevada Corporation

  34. Non-Disclosure Agreement - NDA

  35. Non-Negotiable

  36. Non-Resident

  37. Nonresident Alien

  38. Notice Filing

  39. Novation

  40. Office Of Thrift Supervision - OTS

  41. Open-Market Transaction

  42. Option Schedule

  43. Options Backdating

  44. Options Clearing Corporation - OCC

  45. Order Protection Rule

  46. Organic Act of the Department of Labor

  47. Over-The-Counter Bulletin Board - OTCBB

  48. Patent

  49. Patent Reexamination

  50. Poop

  51. Power Of Attorney

  52. Power of Attorney of Property

  53. Pre-Syndicate Bid

  54. Preliminary Prospectus

  55. Pro-Tanto

  56. Proxy Statement

  57. Prudent-Person Rule

  58. Public Offering

  59. Punitive Damages

  60. Qualified Institutional Buyer - QIB

  61. Quiet Filing

  62. Quiet Period

  63. Registered Investment Advisor - RIA

  64. Registrar

  65. Regulation A

  66. Regulation D - Reg D

  67. Regulation Fair Disclosure - Reg FD

  68. Regulation G

  69. Regulation M

  70. Regulation NMS

  71. Regulation Q

  72. Regulation SHO

  73. Regulation T - Reg T

  74. Regulation U

  75. Regulation Z

  76. Regulatory Risk

  77. Requisitioned Property

  78. Rescission

  79. Resident Alien

  80. Restatement

  81. Retired Securities

  82. Riba

  83. Riskless Principal

  84. Rule 10b-18

  85. Rule 10b-5

  86. Rule 144

  87. Rule 144A

  88. Rule 147

  89. Rules Of Fair Practice

  90. S-3 Filing

  91. S-8 Filing

  92. SEC Fee

  93. SEC Form 1-A

  94. SEC Form 10-Q

  95. SEC Form 13F

  96. SEC Form 2-A

  97. SEC Form CB

  98. SEC Form D

  99. SEC Form F-1

  100. SEC Form F-10

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