Definitions tagged as

Laws & Regulation

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  1. Securities Industry Regulatory Authority - SIRA

  2. Securities Investor Protection Corporation - SIPC

  3. SEC Yield

  4. Self-Regulatory Organization - SRO

  5. Senate Bill

  6. Senior Registered Options Principal - SROP

  7. Sharia

  8. Shelf Offering

  9. Shelf Registration

  10. Short-Sale Rule

  11. Short-Swing Profit Rule

  12. Sick Industrial Companies Act (SICA)

  13. Slow Loan

  14. Smart Money

  15. Social Host Liability

  16. Special Economic Zone - SEZ

  17. Sponsor

  18. Stability And Growth Pact - SGP

  19. Staggers Act

  20. State Administrator

  21. Statutory Debt Limit

  22. Step-Out Trading

  23. Stop Trading On Congressional Knowledge Act - STOCK Act

  24. Sub-Pennying

  25. Sukuk

  26. Sunshine Laws

  27. Suspended Trading

  28. Swap Dealer

  29. System for Electronic Document Analysis and Retrieval - SEDAR

  30. Tape Reading

  31. Taping Rule

  32. Telecommunications Consumer Protection Act of 1991 - TCPA

  33. The Coinage Act Of 1792

  34. The Jones Act

  35. Threshold List

  36. Tier 1 Leverage Ratio

  37. Tip From A Dip

  38. Tipping

  39. Trade Reporting And Compliance Engine - TRACE

  40. Trading Ahead

  41. Trading Authorization

  42. Triggering Event

  43. Trust Indenture Act of 1939

  44. Trust Receipt

  45. TSA PreCheck

  46. Two-Sided Market

  47. Ultra Vires Acts

  48. Unauthorized Investment

  49. Unfair Claims Practice

  50. Uniform Business Rate

  51. Uniform Commercial Code

  52. Uniform Prudent Investor Act - UPIA

  53. Uniform Securities Act

  54. Uniform Simultaneous Death Act

  55. United States V. The South-Eastern Underwriter Association

  56. Universal Market Integrity Rules - UMIR

  57. Unlisted Trading Privileges - UTP

  58. Unsubordinated Debt

  59. Uptick Rule

  60. USA Patriot Act

  61. Usury Laws

  62. Utility Patent

  63. Waiting Period

  64. Wash

  65. Wash-Sale Rule

  66. Wash Trading

  67. Welfare Capitalism

  68. Well's Notice

  69. Whisper Number

  70. Whistleblower

  71. White-Collar Crime

  72. Wildcatting

  73. Williams Act

  74. Zero Minus Tick

  75. Zero Plus Tick

  76. Zombie Titles

  77. Zoning

  78. Zoning Ordinance

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